[Title 27 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2003 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
27
Parts 1 to 199
Revised as of April 1, 2003
Alcohol, Tobacco Products and Firearms
Containing a codification of documents of general
applicability and future effect
As of April 1, 2003
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 27:
Chapter I--Alcohol and Tobacco Tax and Trade Bureau,
Department of the Treasury 3
Finding Aids:
Material Approved for Incorporation by Reference........ 1129
Table of CFR Titles and Chapters........................ 1131
Alphabetical List of Agencies Appearing in the CFR...... 1149
List of CFR Sections Affected........................... 1159
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 27 CFR 1.1 refers
to title 27, part 1,
section 1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
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evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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citations for the regulations are referred to by volume number and page
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate
volumes. For the period beginning January 1, 2001, a ``List of CFR
Sections Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
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to materials already published elsewhere. For an incorporation to be
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This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
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and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
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also included in this volume.
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that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
[[Page vii]]
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
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Raymond A. Mosley,
Director,
Office of the Federal Register.
April 1, 2003.
[[Page ix]]
THIS TITLE
Title 27--Alcohol, Tobacco Products, and Firearms is composed of two
volumes, parts 1-199 and part 200 to end. The contents of these volumes
represent all current regulations issued by the Alcohol and Tobacco Tax
and Trade Bureau, Department of the Treasury and the Bureau of Alcohol,
Tobacco, Firearms, and Explosives, Department of Justice as of April 1,
2003.
[[Page x]]
[[Page 1]]
TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS
(This book contains parts 1 to 199)
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Part
chapter i--Alcohol and Tobacco Tax and Trade Bureau,
Department of the Treasury................................ 1
Cross References: U.S. Customs Service, Department of the Treasury: See
19 CFR Chapter I.
Federal Trade Commission: See 16 CFR Chapter I.
Food and Drug Administration, Department of Health and Human Services:
See 21 CFR Chapter I.
Foreign Trade Statistics, Bureau of the Census, Department of
Commerce: See 15 CFR Part 30.
Postal Service: See section 124 of the Domestic Mail Manual.
Other regulations issued by the Department of the Treasury appear in
title 26; 31 CFR chapter I.
Abbreviations: The following abbreviations are used in this chapter:
ATF=Alcohol, Tobacco and Firearms. T.D.=Treasury Decision.
[[Page 3]]
CHAPTER I--ALCOHOL AND TOBACCO TAX AND TRADE BUREAU, DEPARTMENT OF THE
TREASURY
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Editorial Note: The regulations appearing in this title were
originally issued by the Federal Alcohol Administration, which was
abolished by Reorganization Plan No. III, Apr. 2, 1940, 5 FR 2107, 3
CFR, 1940 Supp. Treasury Order 30, June 12, 1940, 5 FR 2212, issued
under sections 2 and 8 of Reorganization Plan No. III (54 Stat. 1232)
provided that these regulations continue in effect as regulations of the
Bureau of Alcohol, Tobacco and Firearms.
SUBCHAPTER A--LIQUORS
Part Page
1 Basic permit requirements under the Federal
Alcohol Administration Act,
nonindustrial use of distilled spirits
and wine, bulk sales and bottling of
distilled spirits....................... 5
4 Labeling and advertising of wine............ 13
5 Labeling and advertising of distilled
spirits................................. 47
6 ``Tied-House''.............................. 77
7 Labeling and advertising of malt beverages.. 88
8 Exclusive outlets........................... 103
9 American viticultural areas................. 106
10 Commercial bribery.......................... 238
11 Consignment sales........................... 242
12 Foreign nongeneric names of geographic
significance used in the designation of
wines................................... 246
13 Labeling proceedings........................ 248
16 Alcoholic beverage health warning statement. 258
17 Drawback on taxpaid distilled spirits used
in manufacturing nonbeverage products... 260
18 Production of volatile fruit-flavor
concentrate............................. 284
19 Distilled spirits plants.................... 295
20 Distribution and use of denatured alcohol
and rum................................. 433
21 Formulas for denatured alcohol and rum...... 473
22 Distribution and use of tax-free alcohol.... 502
24 Wine........................................ 525
25 Beer........................................ 612
26 Liquors and articles from Puerto Rico and
the Virgin Islands...................... 661
[[Page 4]]
27 Importation of distilled spirits, wines, and
beer.................................... 714
29 Stills and miscellaneous regulations........ 731
30 Gauging manual.............................. 735
SUBCHAPTER B--TOBACCO
40 Manufacture of tobacco products and
cigarette papers and tubes.............. 749
44 Exportation of tobacco products and
cigarette papers and tubes, without
payment of tax, or with drawback of tax. 806
45 Removal of tobacco products and cigarette
papers and tubes, without payment of
tax, for use of the United States....... 846
46 Miscellaneous regulations relating to
tobacco products and cigarette papers
and tubes............................... 853
SUBCHAPTER C--FIREARMS
53 Manufacturers excise taxes--firearms and
ammunition.............................. 871
SUBCHAPTERS D-E [RESERVED]
SUBCHAPTER F--PROCEDURES AND PRACTICES
70 Procedure and administration................ 934
71 Rules of practice in permit proceedings..... 1064
72 Disposition of seized personal property..... 1082
SUBCHAPTERS G-L [RESERVED]
SUBCHAPTER M--ALCOHOL, TOBACCO AND OTHER EXCISE TAXES
194 Liquor dealers.............................. 1092
198-199 [Reserved]
Additional supplementary publications are issued covering individual
parts of the Alcohol, Tobacco and Firearms Regulations, the Tobacco
Tax Guide, and Regulations Under Tax Conventions.
[[Page 5]]
SUBCHAPTER A--LIQUORS
PART 1--BASIC PERMIT REQUIREMENTS UNDER THE FEDERAL ALCOHOL ADMINISTRATION ACT, NONINDUSTRIAL USE OF DISTILLED SPIRITS AND WINE, BULK SALES AND BOTTLING OF
DISTILLED SPIRITS--Table of Contents
Subpart A--Scope
Sec.
1.1 General.
1.2 Territorial extent.
1.3 Forms prescribed.
1.4 Delegations of the Director.
Subpart B--Definitions
1.10 Meaning of terms.
Subpart C--Basic Permits
When Required
1.20 Importers.
1.21 Domestic producers, rectifiers, blenders, and warehousemen.
1.22 Wholesalers.
1.23 State agencies.
Persons Entitled to Basic Permits
1.24 Qualifications of applicants.
Applications for Permits
1.25 General.
1.26 Incomplete or incorrectly executed applications.
1.27 Change in ownership, management, or control of the applicant.
1.29 Individual plant or premises.
1.30 Power of attorney; Form 5000.8 (1534).
1.31 Denial of permit applications.
Authorization
1.35 Authority to issue, amend, deny, suspend, revoke, or annul basic
permits.
Amendment and Duration of Basic Permits
1.40 Change of name.
1.41 Change of address.
1.42 Change in ownership, management, or control of business.
1.43 Duration of permits.
1.44 Automatic termination of permits.
Revocation, Suspension, or Annulment of Basic Permits
1.50 Revocation or suspension.
1.51 Annulment.
1.52 Disposition of stocks of alcoholic beverages upon revocation,
annulment, or automatic termination of basic permit.
Miscellaneous
1.55 Recalling permits for correction.
1.56 Oaths and affirmations.
1.57 Procedure.
1.58 Filing of permits.
1.59 Public information as to applications acted upon.
Subpart D--Nonindustrial Use of Distilled Spirits and Wine
Uses Regarded as Industrial
1.60 Use of distilled spirits.
1.61 Use of wine.
1.62 Use of distilled spirits or wine for experimental purposes and in
manufacture of nonbeverage products.
Uses Classed as Nonindustrial
1.70 General.
1.71 Distilled spirits in containers of a capacity of one gallon or
less.
Subpart E--Bulk Sales and Bottling of Distilled Spirits
Bulk Sales and Bottling
1.80 Sales of distilled spirits in bulk.
1.81 Importation of distilled spirits in bulk.
1.82 Acquiring or receiving distilled spirits in bulk for
redistillation, processing, rectification, warehousing, or
warehousing and bottling.
1.83 Acquiring or receiving distilled spirits in bulk for addition to
wine.
1.84 Acquisition of distilled spirits in bulk by Government agencies.
Warehouse Receipts
1.90 Distilled spirits in bulk.
1.91 Bottled distilled spirits.
Sales of Distilled Spirits for Industrial Use
1.95 General.
Authority: 27 U.S.C. 203, 204, 206, 211 unless otherwise noted.
Source: T.D. ATF-373, 61 FR 26098, May 24, 1996, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 1 appear by T.D. ATF-
463, 66 FR 42733, Aug. 15, 2001.
[[Page 6]]
Subpart A--Scope
Sec. 1.1 General.
(a) The regulations in this part relate to requirements governing
the issuance, amendment, denial, revocation, suspension, automatic
termination, and annulment of basic permits and the duration of permits,
except that the provisions of part 71, Rules of Practice in Permit
Proceedings, of this chapter are hereby made applicable to
administrative proceedings with respect to the application for, and to
the suspension, revocation, or annulment of, basic permits under the
Federal Alcohol Administration Act.
(b) The regulations in this part also specify what uses of distilled
spirits and wine are ``nonindustrial,'' as that term is used in section
117 of the Federal Alcohol Administration Act (27 U.S.C. 211). Finally,
this part, in accordance with section 106 of the Federal Alcohol
Administration Act (27 U.S.C. 206), contains the substantive
requirements relative to bulk sales and bottling of distilled spirits
under the Federal Alcohol Administration Act, including the terms of
warehouse receipts for distilled spirits in bulk. No procedural
requirements are prescribed.
Sec. 1.2 Territorial extent.
The provisions of this part are applicable to the several States of
the United States, the District of Columbia and Puerto Rico.
Sec. 1.3 Forms prescribed.
(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center, P.O.
Box 5950, Springfield, Virginia 22153-5190, or by accessing the ATF web
site (http://www.atf.treas.gov/).
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Sec. 1.4 Delegations of the Director.
Most of the regulatory authorities of the Director contained in this
part 1 are delegated to appropriate ATF officers. These ATF officers are
specified in ATF Order 1130.6, Delegation Order--Delegation of the
Director's Authorities in Part 1, Basic Permit Requirements Under the
Federal Alcohol Administration Act, Nonindustrial Use of Distilled
Spirits and Wine, Bulk Sales and Bottling of Distilled Spirits. ATF
delegation orders, such as ATF Order 1130.6, are available to any
interested person by mailing a request to the ATF Distribution Center,
P.O. Box 5950, Springfield, Virginia 22150-5190, or by accessing the ATF
web site (http://www.atf.treas.gov/).
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Subpart B--Definitions
Sec. 1.10 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
shall have the meaning ascribed in this part.
Act. The Federal Alcohol Administration Act.
Alcohol. Ethyl alcohol distilled at or above 190 deg. proof.
Applicant. Any person who has filed an application for a basic
permit under the Federal Alcohol Administration Act with the appropriate
ATF officer.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions
relating to the administration or enforcement of this part by ATF Order
1130.6, Delegation Order--Delegation of the Director's Authorities in 27
CFR Part 1, Basic Permit Requirements Under the Federal Alcohol
Administration Act, Nonindustrial Use of Distilled Spirits and Wine,
Bulk Sales and Bottling of Distilled Spirits.
Basic permit. A document issued under the Act authorizing a person
to engage in activities at a particular location.
[[Page 7]]
Brandy. Brandy or wine spirits for addition to wines as permitted by
internal revenue law.
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the
Department of the Treasury, Washington, DC.
Distilled spirits. Section 117(a) of the Federal Alcohol
Administration Act (27 U.S.C. 211(a)) defines ``distilled spirits'' as
ethyl alcohol, hydrated oxide of ethyl, spirits of wine, whiskey, rum,
brandy, gin, and other distilled spirits, including all dilutions and
mixtures thereof for nonindustrial use.
In bulk. Distilled spirits in containers having a capacity in excess
of one wine gallon.
Other term. Any other term defined in the Federal Alcohol
Administration Act and used in this part shall have the same meaning
assigned to it by the Act.
Permittee. Any person holding a basic permit issued under the
Federal Alcohol Administration Act.
Person. Any individual, partnership, joint-stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver, trustee, or liquidating agent.
Resale at wholesale. A sale to any trade buyer.
Trade buyer. Any person who is a wholesaler or retailer of distilled
spirits, wine, or malt beverages.
Wine. Section 117(a) of the Federal Alcohol Administration Act (27
U.S.C. 211(a)) defines ``wine'' as:
(a) Wine as defined in section 610 and section 617 of the Revenue
Act of 1918 (26 U.S.C. 5381-5392), as now in force or hereafter amended,
and
(b) Other alcoholic beverages not so defined, but made in the manner
of wine, including sparkling and carbonated wine, wine made from
condensed grape must, wine made from other agricultural products than
the juice of sound, ripe grapes, imitation wine, compounds sold as wine,
vermouth, cider, perry, and sake; in each instance, only if containing
not less than 7 percent and not more than 24 percent of alcohol by
volume, and if for nonindustrial use.
Wine gallon. The liquid measure equivalent to the volume of 231
cubic inches.
[T.D. ATF-373, 61 FR 26098, May 24, 1996. Redesignated and amended by
T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Subpart C--Basic Permits
Editorial Note: Nomenclature changes appear by T.D. ATF-416, 64 FR
49985, Sept. 15, 1999.
When Required
Sec. 1.20 Importers.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of importing into the United States
distilled spirits, wine, or malt beverages; or
(b) While so engaged, sell, offer or deliver for sale, contract to
sell, or ship, in interstate or foreign commerce, directly or indirectly
or through an affiliate, distilled spirits, wine, or malt beverages so
imported.
Sec. 1.21 Domestic producers, rectifiers, blenders, and warehousemen.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of distilling distilled spirits,
producing wine, rectifying or blending distilled spirits or wine, or
bottling, or warehousing and bottling, distilled spirits; or
(b) While so engaged, sell, offer or deliver for sale, contract to
sell, or ship, in interstate or foreign commerce, directly or indirectly
or through an affiliate, distilled spirits or wine so distilled,
produced, rectified, blended, or bottled, or warehoused and bottled.
Sec. 1.22 Wholesalers.
No person, except pursuant to a basic permit issued under the Act,
shall:
(a) Engage in the business of purchasing for resale at wholesale,
distilled spirits, wine, or malt beverages; or,
(b) While so engaged, receive, sell, offer or deliver for sale,
contract to sell, or ship in interstate or foreign commerce, directly or
indirectly or through an affiliate, distilled spirits, wine, or malt
beverages so purchased.
[[Page 8]]
Sec. 1.23 State agencies.
This subpart shall not apply to any agency of a State or political
subdivision thereof or to any officer or employee of any such agency,
and no such agency or officer or employee thereof shall be required to
obtain a basic permit under this subpart.
Persons Entitled to Basic Permits
Sec. 1.24 Qualifications of applicants.
The application of any person shall be granted and the permit issued
by the appropriate ATF officer if the applicant proves to the
satisfaction of the appropriate ATF officer that:
(a) Such person (or in case of a corporation, any of its officers,
directors, or principal stockholders) has not, within 5 years prior to
the date of application, been convicted of a felony under Federal or
State law, and has not, within 3 years prior to date of application,
been convicted of a misdemeanor under any Federal law relating to
liquor, including the taxation thereof; and
(b) Such person, by reason of the person's business experience,
financial standing or trade connections, is likely to commence
operations as a distiller, warehouseman and bottler, rectifier, wine
producer, wine blender, importer, or wholesaler, as the case may be,
within a reasonable period and to maintain such operations in conformity
with Federal law; and
(c) The operations proposed to be conducted by such person are not
in violation of the law of the State in which they are to be conducted.
Applications for Permits
Sec. 1.25 General.
Applications for basic permits to engage in any of the operations
set forth in Secs. 1.20 to 1.22 must be made on ATF Form 5100.24, or
5100.18, verified as required by Sec. 1.56, and will be accompanied by
such affidavits, documents, and other supporting data, as the
appropriate ATF officer may require. The application will include all
data, written statements, affidavits, documents, or other evidence
submitted in support of the application, or upon a hearing.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999; T.D. ATF-416a, 64 FR 54776,
Oct. 8, 1999]
Sec. 1.26 Incomplete or incorrectly executed applications.
Incomplete or incorrectly executed applications will not be acted
upon, but the applicant shall be entitled to file a new application
without prejudice, or to complete the application already filed.
Sec. 1.27 Change in ownership, management, or control of the applicant.
In the event of any change in the ownership, management, or control
of the applicant (in case of a corporation, any change in the officers,
directors, or persons holding more than 10 percent of the corporate
stock), after the date of filing of any application for a basic permit
and prior to final action on such application, the applicant shall
notify the appropriate ATF officer immediately of such change.
Sec. 1.29 Individual plant or premises.
An application for a basic permit must be filed, and permit issued,
to cover each individual plant or premises where any of the businesses
specified in section 103 of the Act is engaged in.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Sec. 1.30 Power of attorney; Form 5000.8 (1534).
If the application and other documents in support of such
application are signed by an attorney in fact of an individual,
partnership, association, or corporation, or by one of the members of a
copartnership or association, or, in the case of a corporation by an
officer or other person not authorized by the corporation's bylaws or by
its board of directors to sign such applications and supporting
documents, the applications must be supported by a duly authenticated
copy of the power of attorney conferring authority upon the person
signing the documents to execute the
[[Page 9]]
same. Such powers of attorney will be executed on Form 5000.8 (1534).
(Approved by the Office of Management and Budget under control number
1512-0079)
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999].
Sec. 1.31 Denial of permit applications.
If, upon examination of any application for a basic permit, the
appropriate ATF officer has reason to believe that the applicant is not
entitled to such a permit, the appropriate ATF officer shall institute
proceedings for the denial of the application in accordance with the
procedure set forth in part 71 of this chapter.
Authorization
Sec. 1.35 Authority to issue, amend, deny, suspend, revoke, or annul basic permits.
The authority and power of issuing, amending, or denying basic
permits, or amendments thereof, is conferred upon the appropriate ATF
officer except as to agency initiated curtailment. The Director, upon
consideration of appeals on petitions for review in part 71 of this
chapter, may order the appropriate ATF officer to issue, deny, suspend,
revoke, or annul basic permits.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Amendment and Duration of Basic Permits
Sec. 1.40 Change of name.
In the event of any change in the name (trade or corporate name) of
a permittee, or, in the event a permittee desires to engage in
operations under an additional trade name, such permittee must file
application Form 5100.18 for an amended basic permit, which application
must be approved, and amended permit issued, before operations may be
commenced under the new name.
(Approved by the Office of Management and Budget under control number
1512-0090)
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF- 416,
64 FR 49985, Sept. 15, 1999]
Sec. 1.41 Change of address.
In the event of a change in address the permittee must file
application Form 5100.18 for an amended basic permit.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF- 416,
64 FR 49985, Sept. 15, 1999]
Sec. 1.42 Change in ownership, management, or control of business.
In the event of any change in the ownership, management, or control
of any business operated pursuant to a basic permit (if the permittee is
a corporation, if any change occurs in the officers, directors, or
persons owning or controlling more than 10 percent of the voting stock
of said corporation) the permittee shall immediately notify the
appropriate ATF officer of such change, giving the names and addresses
of all new persons participating in the ownership, management, or
control of such business, or in the case of a corporation, the names and
addresses of such new officers, directors, or persons owning or
controlling more than 10 percent of the voting stock. Notice to the
appropriate ATF officer of any such change shall be accompanied or
supplemented by such data in reference to the personal or business
history of such persons as the appropriate ATF officer may require.
Sec. 1.43 Duration of permits.
A basic permit shall continue in effect until suspended, revoked,
annulled, voluntarily surrendered, or automatically terminated, as
provided in the Act and in this part.
Sec. 1.44 Automatic termination of permits.
No basic permit shall be leased, sold, or otherwise voluntarily
transferred, and, in the event of such lease, sale, or other voluntary
transfer, such basic permit shall automatically terminate thereupon. If
any basic permit is transferred by operation of law or if actual or
legal control of the permittee is acquired, directly or indirectly
whether by stock ownership or in any other manner, by any person, then
such permit shall be automatically terminated at the expiration of 30
days thereafter:
[[Page 10]]
Provided, That if within such 30-day period application for a new basic
permit is made by the transferee or permittee, respectively, then the
outstanding basic permit shall continue in effect until such time as the
application is finally acted upon.
Revocation, Suspension, or Annulment of Basic Permits
Sec. 1.50 Revocation or suspension.
Whenever the appropriate ATF officer has reason to believe that any
permittee has willfully violated any of the conditions of the
permittee's basic permit or has not engaged in the operations authorized
by the permit for a period of more than two years, the appropriate ATF
officer shall institute proceedings for the revocation or suspension of
such permit, in accordance with the procedure set forth in part 71 of
this chapter, which part is made applicable to such proceedings.
Sec. 1.51 Annulment.
Whenever the appropriate ATF officer has reason to believe that any
basic permit was procured through fraud, or misrepresentation or
concealment of material fact, the appropriate ATF officer shall
institute proceedings for the annulment of such permit in accordance
with the procedure set forth in part 71 of this chapter, which part is
made applicable to such proceedings.
Sec. 1.52 Disposition of stocks of alcoholic beverages upon revocation, annulment, or automatic termination of basic permit.
In the event of the revocation or annulment of a basic permit,
pursuant to part 71 of this chapter, or in the event such permit is
automatically terminated by operation of law (27 U.S.C. 204(g) and
Sec. 1.44 of this part), the appropriate ATF officer may authorize the
orderly disposition of stocks of distilled spirits, wines, or malt
beverages then held by the permittee or former permittee upon such
conditions as may be considered proper.
Miscellaneous
Sec. 1.55 Recalling permits for correction.
Whenever it shall be discovered that any basic permit has been
issued authorizing acts, or combinations of acts, which may not
properly, under the law and regulations, as of now or hereafter in
force, be authorized, or that any material mistake has occurred in the
issuance thereof, the holder of such permit shall forthwith surrender
the same for correction or amendment upon demand of the appropriate ATF
officer.
Sec. 1.56 Oaths and affirmations.
A document must be verified by an oath or affirmation taken before a
person authorized by the laws of the United States or by State or local
law to administer oaths or affirmations in the jurisdiction where the
document is executed when required by:
(a) Regulation; or
(b) An appropriate ATF officer.
[T.D. ATF-416, 64 FR 49985, Sept. 15, 1999]
Sec. 1.57 Procedure.
The procedures prescribed by the rules of practice in permit
proceedings (part 71 of this chapter) are applicable to administrative
proceedings for the issuance, amendment, denial, revocation, suspension,
or annulment of basic permits, the issuance of subpoenas and the taking
of depositions under the Act.
Sec. 1.58 Filing of permits.
Every person receiving a basic permit under the provisions of this
part must file the same, at the place of business covered by the basic
permit, so that it may be examined by appropriate ATF officers.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Sec. 1.59 Public information as to applications acted upon.
The appropriate ATF officer shall cause to be maintained currently
in the appropriate ATF officer's office for public inspection, until the
expiration of one year following final action on the application, the
following information with respect to each application for basic permit
filed:
(a) The name, including trade name or names, if any, and the address
of the applicant; the kind of permit applied
[[Page 11]]
for and the location of the business; whether the applicant is an
individual, a partnership or a corporation; if a partnership, the name
and address of each partner; if a corporation, the name and address of
each of the principal officers and of each stockholder owning 10 percent
or more of the corporate stock.
(b) The time and place set for any hearing on the application.
(c) The final action taken on the application. In the event a
hearing is held upon an application for a basic permit, the appropriate
ATF officer shall make available for inspection at the appropriate ATF
officer's office, upon request therefor: The transcript of the hearing,
a copy of the administrative law judge's recommended decision, a copy of
the appropriate ATF officer's decision and, in the event of an appeal to
the Director, the decision on appeal with the reasons given in support
thereof.
[T.D. ATF-373, 61 FR 26098, May 24, 1996, as amended by T.D. ATF-416, 64
FR 49985, Sept. 15, 1999]
Subpart D--Nonindustrial Use of Distilled Spirits and Wine
Uses Regarded as Industrial
Sec. 1.60 Use of distilled spirits.
The following uses of distilled spirits are regarded as
``industrial'' and will be excluded from any application of the term
``nonindustrial use.'' The use of distilled spirits:
(a) Free of tax by, and for the use of, the United States or any
governmental agency thereof, any State, any political subdivision of a
State, or the District of Columbia, for nonbeverage purposes; or
(b) Free of tax for nonbeverage purposes and not for resale or use
in the manufacture of any product for sale:
(1) For the use of any educational organization described in 26
U.S.C. 170(b)(1)(A)(ii) which is exempt from income tax under 26 U.S.C.
501(a), or for the use of any scientific university or college of
learning;
(2) For any laboratory for use exclusively in scientific research;
(3) For use at any hospital, blood bank, or sanitarium (including
use in making analysis or test at such hospital, blood bank, or
sanitarium), or at any pathological laboratory exclusively engaged in
making analyses, or tests, for hospitals or sanitariums; or
(4) For the use of any clinic operated for charity and not for
profit (including use in compounding of bona fide medicines for
treatment outside of such clinics of patients thereof); or
(c) Free of tax, after denaturation of such spirits in the manner
prescribed by law for:
(1) Use in the manufacture of ether, chloroform, or other definite
chemical substance where such distilled spirits are changed into some
other chemical substance and do not appear in the finished product; or
(2) Any other use in the arts and industries (except for uses
prohibited by 26 U.S.C. 5273 (b) or (d)) and for fuel, light, and power.
Sec. 1.61 Use of wine.
The following uses of wine are regarded as ``industrial'' and will
be excluded from any application of the term ``nonindustrial''. The use
of wine:
(a) Without payment of tax for use in the production of vinegar; or
(b) Free of tax for experimental or research purposes by any
scientific university, college of learning, or institution of scientific
research; or
(c) Free of tax for use by the United States or any agency thereof,
and for use for analysis, testing, research, or experimentation by the
governments of the several States and the District of Columbia or of any
political subdivision thereof or by any agency of such governments; or
(d) Which has been rendered unfit for beverage use.
Sec. 1.62 Use of distilled spirits or wine for experimental purposes and in manufacture of nonbeverage products.
The use of distilled spirits or wine for experimental purposes and
in the manufacture of (a) medicinal, pharmaceutical, or antiseptic
products, including prescriptions compounded by retail druggists; (b)
toilet preparations; (c) flavoring extracts, syrups, or food products;
or (d) scientific, chemical, mechanical, or industrial products,
[[Page 12]]
provided such products are unfit for beverage use, is regarded as
``industrial,'' and will be excluded from any application of the term
``nonindustrial use.''
Uses Classed as Nonindustrial
Sec. 1.70 General.
All uses of distilled spirits and wines, except as provided in
Secs. 1.60, 1.61, and 1.62 of this part, are regarded as
``nonindustrial.'' Such ``nonindustrial'' use shall include, but not be
limited to, distilled spirits or wine used for beverage purposes, or in
the manufacture, rectification, or blending of alcoholic beverages; or
in the preparation of food or drink by a hotel, restaurant, tavern, or
similar establishment; or for sacramental purposes; or as a medicine.
Sec. 1.71 Distilled spirits in containers of a capacity of one gallon or less.
Distilled spirits in containers of a capacity of one wine gallon or
less, except anhydrous alcohol and alcohol which may be withdrawn free
of tax under the internal revenue laws, will be deemed to be for
nonindustrial use.
Subpart E--Bulk Sales and Bottling of Distilled Spirits
Bulk Sales and Bottling
Sec. 1.80 Sales of distilled spirits in bulk.
It is unlawful for any person to sell, offer to sell, contract to
sell, or otherwise dispose of distilled spirits in bulk, for
nonindustrial use, except for export or to the classes of persons
enumerated in Secs. 1.82, 1.83, and 1.84.
Sec. 1.81 Importation of distilled spirits in bulk.
It is unlawful for any person to import distilled spirits in bulk,
for nonindustrial use, except for sale to or for use by the classes of
persons enumerated in Secs. 1.82, 1.83 and 1.84.
Sec. 1.82 Acquiring or receiving distilled spirits in bulk for redistillation, processing, rectification, warehousing, or warehousing and bottling.
(a) Proprietors of distilled spirits plants. Persons holding basic
permits (issued under subpart B of this part) authorizing the
distilling, processing, rectifying, or warehousing and bottling of
distilled spirits, or operating permits (issued under Sec. 19.157 and
succeeding sections of this chapter) may acquire or receive in bulk and
redistill, warehouse, or process distilled spirits, so far as permitted
by law.
(b) Proprietors of class 8 customs bonded warehouses. If the
permittee operates a class 8 customs bonded warehouse, the permittee may
acquire or receive in bulk, and warehouse and bottle, imported distilled
spirits, so far as permitted by the customs laws.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
Sec. 1.83 Acquiring or receiving distilled spirits in bulk for addition to wine.
Persons holding permits as producers and blenders of wine, may,
pursuant to such permit, acquire or receive in bulk alcohol or brandy
for addition to wines.
Sec. 1.84 Acquisition of distilled spirits in bulk by Government agencies.
Any agency of the United States, or of any State or political
subdivision thereof, may acquire or receive in bulk, and warehouse and
bottle, imported and domestic distilled spirits in conformity with the
internal revenue laws.
Warehouse Receipts
Sec. 1.90 Distilled spirits in bulk.
By the terms of the Act (27 U.S.C. 206), all warehouse receipts for
distilled spirits in bulk must require that the warehouseman shall
package such distilled spirits, before delivery, in bottles labeled and
marked in accordance with law, or deliver such distilled spirits in bulk
only to persons to whom it is lawful to sell or otherwise dispose of
distilled spirits in bulk.
Sec. 1.91 Bottled distilled spirits.
The provisions of the Act, which forbid any person to sell, offer to
sell, contract to sell, or otherwise dispose of warehouse receipts for
distilled spirits in bulk, do not apply to warehouse receipts for
bottled distilled spirits.
Cross Reference: For labeling of distilled spirits, see part 5 of
this chapter.
[[Page 13]]
Sales of Distilled Spirits for Industrial Use
Sec. 1.95 General.
Distillers, rectifiers, and other permittees engaged in the sale or
other disposition of distilled spirits for nonindustrial use shall not
sell or otherwise dispose of distilled spirits in bulk (other than
alcohol) for industrial use, unless such distilled spirits are shipped
or delivered directly to the industrial user thereof.
PART 4--LABELING AND ADVERTISING OF WINE--Table of Contents
Subpart A--Scope
Sec.
4.1 General.
4.2 Territorial extent.
4.3 Forms prescribed.
4.4 Delegations of the Director.
4.5 Related regulations.
Subpart B--Definitions
4.10 Meaning of terms.
Subpart C--Standards of Identity for Wine
4.20 Application of standards.
4.21 The standards of identity.
4.22 Blends, cellar treatment, alteration of class or type.
4.23 Varietal (grape type) labeling.
4.24 Generic, semi-generic, and non-generic designations of geographic
significance.
4.25 Appellations of origin.
4.25a Appellations of origin.
4.26 Estate bottled.
4.27 Vintage wine.
4.28 Type designations of varietal significance.
Subpart D--Labeling Requirements for Wine
4.30 General.
4.32 Mandatory label information.
4.33 Brand names.
4.34 Class and type.
4.35 Name and address.
4.35a Name and address.
4.36 Alcoholic content.
4.37 Net contents.
4.38 General requirements.
4.38a Bottle cartons, booklets and leaflets.
4.39 Prohibited practices.
Subpart E--Requirements for Withdrawal of Wine From Customs Custody
4.40 Label approval and release.
4.45 Certificates of origin and identity.
4.46 Certificate of nonstandard fill.
Subpart F--Requirements for Approval of Labels of Wine Domestically
Bottled or Packed
4.50 Certificates of label approval.
4.51 Exhibiting certificates to Government officials.
4.52 Photoprints.
Subpart G--Advertising of Wine
4.60 Application.
4.61 Definitions.
4.62 Mandatory statements.
4.63 Legibility of mandatory information.
4.64 Prohibited practices.
4.65 Comparative advertising.
Subpart H--Standards of Fill for Wine
4.70 Application.
4.71 Standard wine containers.
4.72 Standards of fill.
4.73 Metric standards of fill.
Subpart I--General Provisions
4.80 Exports.
Subpart J--American Grape Variety Names
4.91 List of approved prime names.
4.92 Alternative names permitted for temporary use.
4.93 Approval of grape variety names.
Subpart K--Use of the Term ``Organic''
4.101 Use of the term ``organic.''
Authority: 27 U.S.C. 205, unless otherwise noted.
Source: T.D. 6521, 25 FR 13835, Dec. 29, 1960, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 4 appear by T.D. ATF-
425, 65 FR 11890, Mar. 7, 2000.
Subpart A--Scope
Sec. 4.1 General.
The regulations in this part relate to the labeling and advertising
of wine.
Sec. 4.2 Territorial extent.
This part applies to the several States of the United States, the
District of Columbia, and Puerto Rico.
[[Page 14]]
Sec. 4.3 Forms prescribed.
(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center, PO Box
5950, Springfield, Virginia 22153-5190, or by accessing the ATF web site
(http://www.atf.treas.gov/).
[T.D. ATF-92, 46 FR 46911, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5955, Feb. 27, 1987; T.D. 372, 61 FR 20723, May 8, 1996; T.D. ATF-
425, 65 FR 11890, Mar. 7, 2000]
Sec. 4.4 Delegations of the Director.
Most of the regulatory authorities of the Director contained in this
Part 4 are delegated to appropriate ATF officers. These ATF officers are
specified in ATF Order 1130.2A, Delegation Order--Delegation of the
Director's Authorities in 27 CFR parts 4, 5 and 7, Labeling and
Advertising of Wine, Distilled Spirits and Malt Beverages. ATF
delegation orders, such as ATF Order 1130.2A, are available to any
interested person by mailing a request to the ATF Distribution Center,
PO Box 5950, Springfield, Virginia 22150-5190, or by accessing the ATF
web site (http://www.atf.treas.gov/).
[T.D. ATF-425, 65 FR 11890, Mar. 7, 2000]
Sec. 4.5 Related regulations.
The following regulations also relate to this part:
27 CFR Part 205--National Organic Program
27 CFR Part 1--Basic Permit Requirements Under the Federal Alcohol
Administration Act, Nonindustrial Use of Distilled Spirits and Wine,
Bulk Sales and Bottling of Distilled Spirits
27 CFR Part 5--Labeling and Advertising of Distilled Spirits
27 CFR Part 7--Labeling and Advertising of Malt Beverages
27 CFR Part 9--American Viticultural Areas
27 CFR Part 12--Foreign Nongeneric Names of Geographic Significance Used
in the Designation of Wines
27 CFR Part 13--Labeling Proceedings
27 CFR Part 16--Alcoholic Beverage Health Warning Statement
27 CFR Part 24--Wine
27 CFR Part 26--Liquors and Articles From Puerto Rico and the Virgin
Islands
27 CFR Part 27--Importation of Distilled Spirits, Wines, and Beer
27 CFR Part 71--Rules of Practice in Permit Proceedings
27 CFR Part 252--Exportation of Liquors
[T.D. ATF-483, 67 FR 62857, Oct. 8, 2002]
Subpart B--Definitions
Sec. 4.10 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
shall have the meaning ascribed in this part.
Act. The Federal Alcohol Administration Act.
Added brandy. Brandy or wine spirits for use in fortification of
wine as permitted by internal revenue law.
Advertisement. See Sec. 4.61 for meaning of term as used in subpart
G of this part.
Alcohol. Ethyl alcohol distilled at or above 190 deg. proof.
American. The several States, the District of Columbia, and Puerto
Rico; ``State'' includes the District of Columbia and Puerto Rico.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions
relating to the administration or enforcement of this part by ATF Order
1130.2A, Delegation Order--Delegation of the Director's Authorities in
27 CFR part 4, 5 and 7, Labeling and Advertising of Wine, Distilled
Spirits and Malt Beverages.
Bottler. Any person who places wine in containers of four liters or
less. (See meaning for ``containers'' and ``packer''.)
Brand label. The label carrying, in the usual distinctive design,
the brand name of the wine.
Container. Any bottle, barrel, cask, or other closed receptacle
irrespective of size or of the material from which made for use for the
sale of wine at retail. (See meaning for ``bottler'' and ``packer''.)
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the
Department of the Treasury, Washington, DC.
[[Page 15]]
Gallon. A U.S. gallon of 231 cubic inches of alcoholic beverages at
60 deg.F.
Interstate or foreign commerce. Commerce between any State and any
place outside thereof, or commerce within any Territory or the District
of Columbia, or between points within the same State but through any
place outside thereof.
Liter or litre. (a) A metric unit of capacity equal to 1,000 cubic
centimeters and equivalent to 33.814 U.S. fluid ounces. For purposes of
this part, a liter is subdivided into 1,000 milliliters (ml).
(b) For purposes of regulation, one liter of wine is defined as that
quantity (mass) of wine occupying a one-liter volume at 20 deg.Celsius
(68 deg.F).
Packer. Any person who places wine in containers in excess of four
liters. (See meaning for ``container'' and ``bottler''.)
Percent or percentage. Percent by volume.
Permittee. Any person holding a basic permit under the Federal
Alcohol Administration Act.
Person. Any individual, partnership, joint-stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver, trustee, or liquidating agent, and including an
officer or employee of any agency of a State or political subdivision
thereof.
Pure condensed must. The dehydrated juice or must of sound, ripe
grapes, or other fruit or agricultual products, concentrated to not more
than 80 deg. (Balling), the composition thereof remaining unaltered
except for removal of water.
Restored pure condensed must. Pure condensed must to which has been
added an amount of water not exceeding the amount removed in the
dehydration process.
Sugar. Pure cane, beet, or dextrose sugar in dry for containing,
respectively, not less than 95 percent of actual sugar calculated on a
dry basis.
Total solids. The degrees Brix of the dealcoholized wine restored to
its original volume.
Trade buyer. Any person who is a wholesaler or retailer.
United States. The several States, the District of Columbia, and
Puerto Rico; the term ``State'' includes the District of Columbia and
Puerto Rico.
Use of other terms. Any other term defined in the Federal Alcohol
Administration Act and used in this part shall have the same meaning
assigned to it by the Act.
Wine. (a) Wine as defined in section 610 and section 617 of the
Revenue Act of 1918 (26 U.S.C. 3036, 3044, 3045) and (b) other alcoholic
beverages not so defined, but made in the manner of wine, including
sparkling and carbonated wine, wine made from condensed grape must, wine
made from other agricultural products than the juice of sound, ripe
grapes, initation wine, compounds sold as wine, vermouth, cider, perry,
and sake; in each instance only if containing not less than 7 percent,
and not more than 24 percent of alcohol by volume, and if for
nonindustrial use.
[T.D. ATF-48, 43 FR 13532, Mar. 31, 1978, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-53, 43 FR 37675, Aug. 23, 1978; 44 FR
55838, Sept. 29, 1979; T.D. ATF-66, 45 FR 40544, June 13, 1980; T.D.
ATF-94, 46 FR 55095, Nov. 6, 1981; T.D. ATF-299, 55 FR 24988, June 19,
1990; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Subpart C--Standards of Identity for Wine
Sec. 4.20 Application of standards.
The standards of identity for the several classes and types of wine
set forth herein shall be applicable to all regulations and permits
issued under the act. Whenever any term for which a standard of identity
has been established herein is used in any such regulation or permit,
such term shall have the meaning assigned to it by such standard of
identity.
Sec. 4.21 The standards of identity.
Standards of identity for the several classes and types of wine set
forth in this part shall be as follows:
(a) Class 1; grape wine--(1) Grape wine is wine produced by the
normal alcoholic fermentation of the juice of sound, ripe grapes
(including restored or unrestored pure condensed grape must), with or
without the addition, after fermentation, of pure condensed grape must,
and with or without added grape brandy or alcohol, but without
[[Page 16]]
other addition or abstraction except as may occur in cellar treatment:
Provided, That the product may be ameliorated before, during or after
fermentation by either of the following methods:
(i) By adding, separately or in combination, dry sugar, or such an
amount of sugar and water solution as will not increase the volume of
the resulting product more than 35 percent; but in no event shall any
product so ameliorated have an alcoholic content derived by
fermentation, of more than 13 percent by volume, or a natural acid
content, if water has been added, of less than 5 parts per thousand, or
a total solids content of more than 22 grams per 100 cubic centimeters.
(ii) By adding, separately or in combination, not more than 20
percent by weight of dry sugar, or not more than 10 percent by weight of
water.
(iii) In the case of domestic wine, in accordance with 26 U.S.C.
5383.
(iv) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide is 0.14 gram per 100 mL (20 deg.C) for
natural red wine and 0.12 gram per 100 mL (20 deg.C) for other grape
wine: Provided, That the maximum volatile acidity for wine produced from
unameliorated juice of 28 or more degrees Brix is 0.17 gram per 100
milliliters for red wine and 0.15 gram per 100 milliliters for white
wine. Grape wine deriving its characteristic color or lack of color from
the presence or absence of the red coloring matter of the skins, juice,
or pulp of grapes may be designated as ``red wine,'' ``pink (or rose)
wine,'' ``amber wine,'' or ``white wine'' as the case may be. Any grape
wine containing no added grape brandy or alcohol may be further
designated as ``natural.''
(2) Table wine is grape wine having an alcoholic content not in
excess of 14 percent by volume. Such wine may also be designated as
``light wine,'' ``red table wine,'' ``light white wine,'' ``sweet table
wine,'' etc., as the case may be.
(3) Dessert wine is grape wine having an alcoholic content in excess
of 14 percent but not in excess of 24 percent by volume. Dessert wine
having the taste, aroma and characteristics generally attributed to
sherry and an alcoholic content, derived in part from added grape brandy
or alcohol, of not less than 17 percent by volume, may be designated as
``sherry''. Dessert wines having the taste, aroma and characteristics
generally attributed to angelica, madeira, muscatel and port and an
alcoholic content, derived in part from added grape brandy or alcohol,
of not less than 18 percent by volume, may be designated as
``angelica,'' ``madeira,'' ``muscatel,'' or ``port'' respectively.
Dessert wines having the taste, aroma, and characteristics generally
attributed to any of the above products and an alcoholic content,
derived in part from added grape brandy or alcohol, in excess of 14
percent by volume but, in the case of sherry, less than 17 percent, or,
in other cases, less than 18 percent by volume, may be designated as
``light sherry,'' ``light angelica,'' ``light madeira,'' ``light
muscatel'' or ``light port,'' respectively.
(b) Class 2; sparkling grape wine. (1) Sparkling grape wine
(including ``sparkling wine,'' ``sparkling red wine'' and ``sparkling
white wine'') is grape wine made effervescent with carbon dioxide
resulting solely from the fermentation of the wine within a closed
container, tank or bottle.
(2) Champagne is a type of sparkling light wine which derives its
effervescence solely from the secondary fermentation of the wine within
glass containers of not greater than one gallon capacity, and which
possesses the taste, aroma, and other characteristics attributed to
champagne as made in the champagne district of France.
(3)(i) A sparkling light wine having the taste, aroma, and
characteristics generally attributed to champagne but not otherwise
conforming to the standard for ``champagne'' may, in addition to but not
in lieu of the class designation ``sparkling wine,'' be further
designated as:
(A) ``Champagne style;'' or
(B) ``Champagne type;'' or
(C) ``American (or New York State, Napa Valley, etc.) champagne,''
along with one of the following terms: ``Bulk process,'' ``fermented
outside the bottle,'' ``secondary fermentation outside the bottle,''
``secondary fermentation before bottling,'' ``not fermented in the
bottle,'' or ``not bottle fermented.'' The
[[Page 17]]
term ``charmat method'' or ``charmat process'' may be used as additional
information.
(ii) Labels shall be so designed that all the words in such further
designation are readily legible under ordinary conditions and are on a
contrasting background. In the case of paragraph (b)(3)(i)(C) of this
section, ATF will consider whether the label as a whole provides the
consumer with adequate information about the method of production and
origin of the wine. ATF will evaluate each label for legibility and
clarity, based on such factors as type size and style for all components
of the further designation and the optional term ``charmat method'' or
``charmat process,'' as well as the contrast between the lettering and
its background, and the placement of information on the label.
(iii) Notwithstanding the provisions of paragraphs (b)(3)(i)(A), (B)
and (C) of this section, the appropriate ATF officer may authorize the
use of a term on sparkling wine labels, as an alternative to those terms
authorized in paragraph (b)(3)(i) of this section, but not in lieu of
the required class designation ``sparkling wine,'' upon a finding that
such term adequately informs the consumer about the method of production
of the sparkling wine.
(4) Crackling wine, petillant wine, frizzante wine (including
cremant, perlant, reciotto, and other similar wine) is sparkling light
wine normally less effervescent than champagne or other similar
sparkling wine, but containing sufficient carbon dioxide in solution to
produce, upon pouring under normal conditions, after the disappearance
of air bubbles, a slow and steady effervescence evidenced by the
formation of gas bubbles flowing through the wine. Crackling wine which
derives its effervescence from secondary fermentation in containers
greater than 1-gallon capacity shall be designated ``crackling wine--
bulk process,'' and the words ``bulk process'' shall appear in lettering
of substantially the same size as the words ``crackling wine.''
(c) Class 3; carbonated grape wine. ``Carbonated grape wine''
(including ``carbonated wine,'' ``carbonated red wine,'' and
``carbonated white wine'') is grape wine made effervescent with carbon
dioxide other than that resulting solely from the secondary fermentation
of the wine within a closed container, tank or bottle.
(d) Class 4; citrus wine. (1)(i) Citrus wine or citrus fruit wine is
wine produced by the normal alcoholic fermentation of the juice of
sound, ripe citrus fruit (including restored or unrestored pure
condensed citrus must), with or without the addition, after
fermentation, of pure condensed citrus must, and with or without added
citrus brandy or alcohol, but without any other addition or abstraction
except as may occur in cellar treatment: Provided, That a domestic
product may be ameliorated or sweetened in accordance with the
provisions of 26 U.S.C. 5384 and any product other than domestic may be
ameliorated before, during, or after fermentation by adding, separately
or in combination, dry sugar, or such an amount of sugar and water
solution as will not increase the volume of the resulting product more
than 35 percent, or in the case of products produced from citrus fruit
having a normal acidity of 20 parts or more per thousand, not more than
60 percent, but in no event shall any product so ameliorated have an
alcoholic content, derived by fermentation, of more than 14 percent by
volume, or a natural acid content, if water has been added, of less than
5 parts per thousand, or a total solids content or more than 22 grams
per 100 cubic centimeters.
(ii) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide, shall not be, for natural citrus wine, more
than 0.14 gram, and for other citrus wine, more than 0.12 gram, per 100
milliliters (20 deg.C.).
(iii) Any citrus wine containing no added brandy or alcohol may be
further designated as ``natural.''
(2) Citrus table wine or citrus fruit table wine is citrus wine
having an alcoholic content not in excess of 14 percent by volume. Such
wine may also be designated ``light citrus wine,'' ``light citrus fruit
wine,'' ``light sweet citrus fruit wine,'' etc., as the case may be.
(3) Citrus dessert wine or citrus fruit dessert wine is citrus wine
having an alcoholic content in excess of 14 percent but not in excess of
24 percent by volume.
[[Page 18]]
(4) Citrus wine derived wholly (except for sugar, water, or added
alcohol) from one kind of citrus fruit, shall be designated by the word
``wine'' qualified by the name of such citrus fruit, e.g., ``orange
wine,'' ``grapefruit wine.'' Citrus wine not derived wholly from one
kind of citrus fruit shall be designated as ``citrus wine'' or ``citrus
fruit wine'' qualified by a truthful and adequate statement of
composition appearing in direct conjunction therewith. Citrus wine
rendered effervescent by carbon dioxide resulting solely from the
secondary fermentation of the wine within a closed container, tank, or
bottle shall be further designated as ``sparkling''; and citrus wine
rendered effervescent by carbon dioxide otherwise derived shall be
further designated as ``carbonated.''
(e) Class 5; fruit wine. (1)(i) Fruit wine is wine (other than grape
wine or citrus wine) produced by the normal alcoholic fermentation of
the juice of sound, ripe fruit (including restored or unrestored pure
condensed fruit must), with or without the addition, after fermentation,
of pure condensed fruit must, and with or without added fruit brandy or
alcohol, but without other addition or abstraction except as may occur
in cellar treatment: Provided, That a domestic product may be
ameliorated or sweetened in accordance with the provisions of 26 U.S.C.
5384 and any product other than domestic may be ameliorated before,
during, or after fermentation by adding, separately or in combination,
dry sugar, or such an amount of dry sugar and water solution as will
increase the volume of the resulting product, in the case of wines
produced from any fruit or berry other than grapes, having a normal
acidity of 20 parts or more per thousand, not more than 60 percent, and
in the case of other fruit wines, not more than 35%, but in no event
shall any product so ameliorated have an alcoholic content, derived by
fermentation, of more than 14 percent by volume, or a natural acid
content, if water has been added, of less than 5 parts per thousand, or
a total solids content of more than 22 grams per 100 cubic centimeters.
(ii) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide, shall not be, for natural fruit wine, more
than 0.14 gram, and for other fruit wine, more than 0.12 gram, per 100
milliliters (20 deg.C.).
(iii) Any fruit wine containing no added brandy or alcohol may be
further designated as ``natural.''
(2) Berry wine is fruit wine produced from berries.
(3) Fruit table wine or berry table wine is fruit or berry wine
having an alcoholic content not in excess of 14 percent by volume. Such
wine may also be designated ``light fruit wine,'' or ``light berry
wine.''
(4) Fruit dessert wine or berry dessert wine is fruit or berry wine
having an alcoholic content in excess of 14 percent but not in excess of
24 percent by volume.
(5) Fruit wine derived wholly (except for sugar, water, or added
alcohol) from one kind of fruit shall be designated by the word ``wine''
qualified by the name of such fruit, e.g., ``peach wine,'' ``blackberry
wine.'' Fruit wine not derived wholly from one kind of fruit shall be
designated as ``fruit wine'' or ``berry wine,'' as the case may be,
qualified by a truthful and adequate statement of composition appearing
in direct conjunction therewith. Fruit wines which are derived wholly
(except for sugar, water, or added alcohol) from apples or pears may be
designated ``cider'' and ``perry,'' respectively, and shall be so
designated if lacking in vinous taste, aroma, and characteristics. Fruit
wine rendered effervescent by carbon dioxide resulting solely from the
secondary fermentation of the wine within a closed container, tank, or
bottle shall be further designated as ``sparkling''; and fruit wine
rendered effervescent by carbon dioxide otherwise derived shall be
further designated as ``carbonated.''
(f) Class 6; wine from other agricultural products. (1)(i) Wine of
this class is wine (other than grape wine, citrus wine, or fruit wine)
made by the normal alcoholic fermentation of sound fermentable
agricultural products, either fresh or dried, or of the restored or
unrestored pure condensed must thereof, with the addition before or
during fermentation of a volume of water not greater than the minimum
necessary
[[Page 19]]
to correct natural moisture deficiencies in such products, with or
without the addition, after fermentation, of pure condensed must, and
with or without added alcohol or such other spirits as will not alter
the character of the product, but without other addition or abstraction
except as may occur in cellar treatment: Provided, That a domestic
product may be ameliorated or sweetened in accordance with part 24, of
this chapter, and any product other than domestic may be ameliorated
before, during, or after fermentation by adding, separately or in
combination, dry sugar or such an amount of sugar and water solution as
will not increase the volume of the resulting product more than 35
percent, but in no event shall any product so ameliorated have an
alcoholic content, derived by fermentation of more than 13 percent by
volume, or a natural acid content, if water has been added, of less than
5 parts per thousand, or a total solids content of more than 22 grams
per 100 cubic centimeters.
(ii) The maximum volatile acidity, calculated as acetic acid and
exclusive of sulfur dioxide, shall not be, for natural wine of this
class, more than 0.14 gram, and for other wine of this class, more than
0.12 gram, per 100 milliliters (20 deg.C.).
(iii) Wine of this class containing no added alcohol or other
spirits may be further designated as ``natural''.
(2) Table wine of this class is wine having an alcoholic content not
in excess of 14 percent by volume. Such wine may also be designated as
``light''.
(3) Dessert wine of this class is wine having an alcoholic content
in excess of 14 percent but not in excess of 24 percent by volume.
(4) Raisin wine is wine of this class made from dried grapes.
(5) Sake is wine of this class produced from rice in accordance with
the commonly accepted method of manufacture of such product.
(6) Wine of this class derived wholly (except for sugar, water, or
added alcohol) from one kind of agricultural product shall except in the
case of ``sake,'' be designated by the word ``wine'' qualified by the
name of such agricultural product, e.g., ``honey wine,'' ``raisin
wine,'' ``dried blackberry wine.'' Wine of this class not derived wholly
from one kind of agricultural product shall be designated as ``wine''
qualified by a truthful and adequate statement of composition appearing
in direct conjunction therewith. Wine of this class rendered
effervescent by carbon dioxide resulting solely from the secondary
fermentation of wine within a closed container, tank, or bottle shall be
further designated as ``sparkling''; and wine of this class rendered
effervescent by carbon dioxide otherwise derived shall be further
designated as ``carbonated.''
(g) Class 7; aperitif wine. (1) Aperitif wine is wine having an
alcoholic content of not less than 15 percent by volume, compounded from
grape wine containing added brandy or alcohol, flavored with herbs and
other natural aromatic flavoring materials, with or without the addition
of caramel for coloring purposes, and possessing the taste, aroma, and
characteristics generally attributed to aperitif wine and shall be so
designated unless designated as ``vermouth'' under paragraph (g)(2) of
this section.
(2) Vermouth is a type of aperitif wine compounded from grape wine,
having the taste, aroma, and characteristics generally attributed to
vermouth, and shall be so designated.
(h) Class 8; imitation and substandard or other than standard wine.
(1) ``Imitation wine'' shall bear as a part of its designation the word
``imitation,'' and shall include:
(i) Any wine containing synthetic materials.
(ii) Any wine made from a mixture of water with residue remaining
after thorough pressing of grapes, fruit, or other agricultural
products.
(iii) Any class or type of wine the taste, aroma, color, or other
characteristics of which have been acquired in whole or in part, by
treatment with methods or materials of any kind (except as permitted in
Sec. 4.22(c)(6)), if the taste, aroma, color, or other characteristics
of normal wines of such class or type are acquired without such
treatment.
(iv) Any wine made from must concentrated at any time to more than
80 deg. (Balling).
[[Page 20]]
(2) ``Substandard wine'' or ``other than standard wine'' shall bear
as a part of its designation the word ``substandard,'' and shall
include:
(i) Any wine having a volatile acidity in excess of the maximum
prescribed therefor in Secs. 4.20 to 4.25.
(ii) Any wine for which no maximum volatile acidity is prescribed in
Secs. 4.20 to 4.25, inclusive, having a volatile acidity, calculated as
acetic acid and exclusive of sulfur dioxide, in excess of 0.14 gram per
100 milliliters (20 deg.C.).
(iii) Any wine for which a standard of identity is prescribed in
this Secs. 4.20 to 4.25, inclusive, which, through disease,
decomposition, or otherwise, fails to have the composition, color, and
clean vinous taste and aroma of normal wines conforming to such
standard.
(iv) Any ``grape wine'' ``citrus wine,'' ``fruit wine,'' or ``wine
from other agricultural products'' to which has been added sugar and
water solution in an amount which is in excess of the limitations
prescribed in the standards of identity for these products, unless, in
the case of ``citrus wine,'' ``fruit wine'' and ``wine from other
agricultural products'' the normal acidity of the material from which
such wine is produced is 20 parts or more per thousand and the volume of
the resulting product has not been increased more than 60 percent by
such addition.
(i) Class 9; retsina wine. ``Retsina wine'' is grape table wine
fermented or flavored with resin.
Cross Reference: For regulations relating to the use of spirits in
wine, see part 24 of this chapter.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. 6776, 29 FR
16985, Dec. 11, 1964; T.D. 7185, 37 FR 7975, Apr. 22, 1972; T.D. ATF-48,
44 FR 55839, Sept. 28, 1979; T.D. ATF-299, 55 FR 24988, June 19, 1990;
T.D. ATF-312, 56 FR 31076, July 9, 1991; T.D. ATF-335, 58 FR 5615, Jan.
22, 1993; T.D. ATF-355, 59 FR 14553, Mar. 29, 1994; T.D. 372, 61 FR
20723, May 8, 1996; T.D. ATF-398, 63 FR 44782, Aug. 21, 1998; T.D. ATF-
403, 64 FR 50252, Sept. 16, 1999; T.D. ATF-458, 66 FR 37578, July 19,
2001; T.D. ATF-470, 66 FR 58944, Nov. 26, 2001]
Sec. 4.22 Blends, cellar treatment, alteration of class or type.
(a) If the class or type of any wine shall be altered, and if the
product as so altered does not fall within any other class or type
either specified in Secs. 4.20 through 4.25 or known to the trade, then
such wine shall, unless otherwise specified in this section, be
designated with a truthful and adequate statement of composition in
accordance with Sec. 4.34.
(b) Alteration of class or type shall be deemed to result from any
of the following occurring before, during, or after production.
(1) Treatment of any class or type of wine with substances foreign
to such wine which remain therein: Provided, That the presence in
finished wine of not more than 350 parts per million of total sulfur
dioxide, or sulphites expressed as sulfur dioxide, shall not be
precluded under this paragraph.
(2) Treatment of any class or type of wine with substances not
foreign to such wine but which remain therein in larger quantities than
are naturally and normally present in other wines of the same class or
type not so treated.
(3) Treatment of any class or type of wine with methods or materials
of any kind to such an extent or in such manner as to affect the basic
composition of the wine so treated by altering any of its characteristic
elements.
(4) Blending of wine of one class with wine of another class or the
blending of wines of different types within the same class.
(5) Treatment of any class or type of wine for which a standard of
identity is prescribed in this article with sugar or water in excess of
the quantities specifically authorized by such standard: Provided, That
the class or type thereof shall not be deemed to be altered where such
wine (other than grape wine) is derived from fruit, or other
agricultural products, having a high normal acidity, if the total solids
content is not more than 22 grams per 100 cubic centimeters, and the
content of natural acid is not less than 7.5 parts per thousand and
where such wine is derived exclusively from fruit, or other agricultural
products, the normal acidity of which is 20 parts or more per thousand,
if the volume of the resulting product has been increased not more than
60 percent by the addition of sugar and water solution, for the sole
purpose of correcting natural deficiencies due to such acidity, and
(except in the case of such wine when produced from fruit or
[[Page 21]]
berries other than grapes) there is stated as part of the class and type
designation the phrase ``Made with over 35 percent sugar solution.''
(c) Nothing in this section shall preclude the treatment of wine of
any class or type in the manner hereinafter specified, provided such
treatment does not result in the alteration of the class or type of the
wine under the provisions of paragraph (b) of this section.
(1) Treatment with filtering equipment, and with fining or
sterilizing agents.
(2) Treatment with pasteurization as necessary to perfect the wines
to commercial standards in accordance with acceptable cellar practice
but only in such a manner and to such an extent as not to change the
basic composition of the wine nor to eliminate any of its characteristic
elements.
(3) Treatment with refrigeration as necessary to perfect the wine to
commercial standards in accordance with acceptable cellar practice but
only in such a manner and to such an extent as not to change the basic
composition of the wine nor to eliminate any of its characteristic
elements.
(4) Treatment with methods and materials to the minimum extent
necessary to correct cloudiness, precipitation, or abnormal color, odor,
or flavor developing in wine.
(5) Treatment with constituents naturally present in the kind of
fruit or other agricultural product from which the wine is produced for
the purpose of correcting deficiencies of these constituents, but only
to the extent that such constituents would be present in normal wines of
the same class or type not so treated.
(6) Treatment of any class or type of wine involving the use of
volatile fruit-flavor concentrates in the manner provided in section
5382 of the Internal Revenue Code.
(7) Notwithstanding the provisions of Sec. 4.21(b) (1), (2) and (4),
(c), (d)(4), (e)(5), and (f)(6) carbon dioxide may be used to maintain
counterpressure during the transfer of finished sparkling wines from (i)
bulk processing tanks to bottles, or (ii) bottle to bottle: Provided,
That the carbon dioxide content of the wine shall not be increased by
more than 0.009 gm. per 100 ml. during the transfer operation.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. 6776, 29 FR
16985, Dec. 11, 1964; T.D. 7185, 37 FR 7976, Apr. 22, 1972; T.D. ATF-
403, 64 FR 50253, Sept. 16, 1999; T.D. ATF-458, 66 FR 37578, July 19,
2001]
Sec. 4.23 Varietal (grape type) labeling.
(a) General. The names of one or more grape varieties may be used as
the type designation of a grape wine only if the wine is also labeled
with an appellation of origin as defined in Sec. 4.25a.
(b) One variety. Except as provided in paragraph (c) of this
section, the name of a single grape variety may be used as the type
designation if not less than 75 percent of the wine is derived from
grapes of that variety, the entire 75 percent of which was grown in the
labeled appellation of origin area.
(c) Exceptions. (1) Wine made from any Vitis labrusca variety
(exclusive of hybrids with Vitis labrusca parentage) may be labeled with
the variety name if:
(i) Not less than 51 percent of the wine is derived from grapes of
the named variety;
(ii) The statement ``contains not less than 51 percent (name of
variety)'' is shown on the brand label, back label, or a separate strip
label, (except that this statement need not appear if 75 percent or more
of the wine is derived from grapes of the named variety); and
(iii) The entire qualifying percentage of the named variety was
grown in the labeled appellation of origin area.
(2) Wine made from any variety of any species found by the
appropriate ATF officer upon appropriate application to be too strongly
flavored at 75 percent minimum varietal content may be labeled with the
varietal name if:
(i) Not less than 51 percent of the wine is derived from grapes of
that variety;
(ii) The statement ``contains not less than 51 percent (name of
variety)'' is shown on the brand label, back label, or a separate strip
label (except that this statement need not appear if 75 percent or more
of the wine is derived from grapes of the named variety); and
[[Page 22]]
(iii) The entire qualifying percentage of the named variety was
grown in the labeled appellation of origin area.
(d) Two or more varieties. The names of two or more grape varieties
may be used as the type designation if:
(1) All of the grapes used to make the wine are of the labeled
varieties;
(2) The percentage of the wine derived from each variety is shown on
the label (with a tolerance of plus or minus 2 percent); and
(3)(i) If labeled with a multicounty appellation of origin, the
percentage of the wine derived from each variety from each county is
shown on the label; or
(ii) If labeled with a multistate appellation of origin, the
percentage of the wine derived from each variety from each state is
shown on the label.
(e) List of approved variety names. Effective February 7, 1996, the
name of a grape variety may be used as a type designation for an
American wine only if that name has been approved by the Director. A
list of approved grape variety names appears in subpart J of this part.
[T.D. ATF-370, 61 FR 538, Jan. 8, 1996]
Sec. 4.24 Generic, semi-generic, and non-generic designations of geographic significance.
(a)(1) A name of geographic significance which is also the
designation of a class or type of wine, shall be deemed to have become
generic only if so found by the appropriate ATF officer.
(2) Examples of generic names, originally having geographic
significance, which are designations for a class or type of wine are:
Vermouth, Sake.
(b)(1) A name of geographic significance, which is also the
designation of a class or type of wine, shall be deemed to have become
semi-generic only if so found by the appropriate ATF officer. Semi-
generic designations may be used to designate wines of an origin other
than that indicated by such name only if there appears in direct
conjunction therewith an appropriate appellation of origin disclosing
the true place of origin of the wine, and if the wine so designated
conforms to the standard of identity, if any, for such wine contained in
the regulations in this part or, if there be no such standard, to the
trade understanding of such class or type. See Sec. 24.257(c) of this
chapter for exceptions to the appropriate ATF officer's authority to
remove names from paragraph (b)(2) of this section.
(2) Examples of semi-generic names which are also type designations
for grape wines are Angelica, Burgundy, Claret, Chablis, Champagne,
Chianti, Malaga, Marsala, Madeira, Moselle, Port, Rhine Wine (syn.
Hock), Sauterne, Haut Sauterne, Sherry, Tokay.
(c)(1) A name of geographic significance, which has not been found
by the appropriate ATF officer to be generic or semi-generic may be used
only to designate wines of the origin indicated by such name, but such
name shall not be deemed to be the distinctive designation of a wine
unless the Director finds that it is known to the consumer and to the
trade as the designation of a specific wine of a particular place or
region, distinguishable from all other wines.
(2) Examples of nongeneric names which are not distinctive
designations of specific grape wines are: American, California, Lake
Erie, Napa Valley, New York State, French, Spanish. Additional examples
of foreign nongeneric names are listed in subpart C of part 12 of this
chapter.
(3) Examples of nongeneric names which are also distinctive
designations of specific grape wines are: Bordeaux Blanc, Bordeaux
Rouge, Graves, Medoc, Saint-Julien, Chateau Yquem, Chateau Margaux,
Chateau Lafite, Pommard, Chambertin, Montrachet, Rhone, Liebfraumilch,
Rudesheimer, Forster, Deidesheimer, Schloss Johannisberger, Lagrima, and
Lacryma Christi. A list of foreign distinctive designations, as
determined by the Director, appears in subpart D of part 12 of this
chapter.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-296, 55
FR 17967, Apr. 30, 1990; T.D. ATF-398, 63 FR 44783, Aug. 21, 1998; T.D.
ATF-425, 65 FR 11890, 11891, Mar. 7, 2000]
Sec. 4.25 Appellations of origin.
(a) A wine shall be entitled to an appellation of origin if (1) at
least 75 percent of its volume is derived from fruit or agricultural
products grown in the
[[Page 23]]
place or region indicated by such appellation, (2) it has been fully
manufactured and finished within the State in which such place or region
is located, and (3) it conforms to the requirements of the laws and
regulations of such place or region governing the composition, method of
manufacture, and designation of wines for home consumption.
(b) Wines subjected to cellar treatment outside the place or region
of origin under the provisions of Sec. 4.22(c), and blends of wines of
the same origin blended together outside the place or region of origin
(if all the wines in the blend have a common class, type or other
designation which is employed as the designation of the blend) shall be
entitled to the same appellation of origin to which they would be
entitled if such cellar treatment or blending took place within the
place or region of origin.
(c) This section does not apply after December 31, 1982.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. 7185, 37 FR
7976, Apr. 22, 1972; T.D. ATF-201, 50 FR 12533, Mar. 29, 1985]
Sec. 4.25a Appellations of origin.
(a) Definition--(1) American wine. An American appellation of origin
is: (i) The United States; (ii) a State; (iii) two or no more than three
States which are all contiguous; (iv) a county (which must be identified
with the word ``county'', in the same size of type, and in letters as
conspicuous as the name of the county); (v) two or no more than three
counties in the same States; or (vi) a viticultural area (as defined in
paragraph (e) of this section).
(2) Imported wine. An appellation of origin for imported wine is:
(i) A country, (ii) a state, province, territory, or similar political
subdivision of a country equivalent to a state or county; or (iii) a
viticultural area.
(b) Qualification--(1) American wine. An American wine is entitled
to an appellation of origin other than a multicounty or multistate
appellation, or a viticultural area, if:
(i) At least 75 percent of the wine is derived from fruit or
agricultural products grown in the appellation area indicated; (ii) it
has been fully finished (except for cellar treatment pursuant to
Sec. 4.22(c), and blending which does not result in an alteration of
class or type under Sec. 4.22(b)) in the United States, if labeled
``American''; or, if labeled with a State appellation, within the
labeled State or an adjacent State; or if labeled with a county
appellation, within the State in which the labeled county is located;
and (iii) it conforms to the laws and regulations of the named
appellation area governing the composition, method of manufacture, and
designation of wines made in such place.
(2) Imported wine. An imported wine is entitled to an appellation of
origin other than a viticultural area if:
(i) At least 75 percent of the wine is derived from fruit or
agricultural products grown in the area indicated by the appellation of
origin; and (ii) The wine conforms to the requirements of the foreign
laws and regulations governing the composition, method of production,
and designation of wines available for consumption within the country of
origin.
(c) Multicounty appellations. An appellation of origin comprising
two or no more than three counties in the same State may be used if all
of the fruit or other agricultural products were grown in the counties
indicated, and the percentage of the wine derived from fruit or other
agricultural products grown in each county is shown on the label with a
tolerance of plus or minus two percent.
(d) Multistate appellation. An appelation of origin comprising two
or no more than three States which are all contiguous may be used, if:
(1) All of the fruit or other agricultural products were grown in
the States indicated, and the percentage of the wine derived from fruit
or other agricultural products grown in each State is shown on the label
with a tolerance of plus or minus two percent;
(2) it has been fully finished (except for cellar treatment pursuant
to Sec. 4.22(c), and blending which does not result in an alteration of
class or type under Sec. 4.22(b)) in one of the labeled appellation
States; (3) it conforms to the laws and regulations governing the
composition, method of manufacture, and designation of wines in all the
States listed in the appellation.
[[Page 24]]
(e) Viticultural area--(1) Definition--(i) American wine. A
delimited grape growing region distinguishable by geographical features,
the boundaries of which have been recognized and defined in part 9 of
this chapter.
(ii) Imported wine. A delimited place or region (other than an
appellation defined in paragraph (a)(2)(i) or (a)(2)(ii)) the boundaries
of which have been recognized and defined by the country of origin for
use on labels of wine available for consumption within the country of
origin.
(2) Establishment of American viticultural areas. Petitions for
establishment of American viticultural areas may be made to the Director
by any interested party, pursuant to the provisions of Sec. 70.701(c) of
this title. The petition may be in the form of a letter, and should
contain the following information referred to in Sec. 9.3(b) of this
title.
(3) Requirements for use. A wine may be labeled with a viticultural
area appellation if:
(i) The appellation has been approved under part 9 of this title or
by the appropriate foreign government;
(ii) Not less than 85 percent of the wine is derived from grapes
grown within the boundaries of the viticultural area;
(iii) In the case of foreign wine, it conforms to the requirements
of the foreign laws and regulations governing the composition, method of
production, and designation of wines available for consumption within
the country of origin; and
(iv) In the case of American wine, it has been fully finished within
the State, or one of the States, within which the labeled viticultural
area is located (except for cellar treatment pursuant to Sec. 4.22(c),
and blending which does not result in an alteration of class and type
under Sec. 4.22(b)).
(4) Overlap viticultural area appellations. An appellation of origin
comprised of more than one viticultural area may be used in the case of
overlapping viticultural areas if not less than 85 percent of the volume
of the wine is derived from grapes grown in the overlapping area.
[T.D. ATF-53, 43 FR 37675, Aug. 23, 1978, as amended by T.D. ATF-84, 46
FR 29261, June 1, 1981; T.D. ATF-92, 46 FR 46912, Sept. 23, 1981; T.D.
ATF-195, 50 FR 763, Jan. 7, 1985; T.D. ATF-201, 50 FR 12533, Mar. 29,
1985; T.D. ATF-222, 51 FR 3774, Jan. 30 1986; T.D. ATF-312, 56 FR 31076,
July 9, 1991; T.D. ATF-355, 59 FR 14553, Mar. 29, 1994; T.D. ATF-432, 65
FR 69253, Nov. 16, 2000]
Sec. 4.26 Estate bottled.
(a) Conditions for use. The term Estate bottled may be used by a
bottling winery on a wine label only if the wine is labeled with a
viticultural area appellation of origin and the bottling winery:
(1) Is located in the labeled viticultural area; (2) grew all of the
grapes used to make the wine on land owned or controlled by the winery
within the boundaries of the labeled viticultural area; (3) crushed the
grapes, fermented the resulting must, and finished, aged, and bottled
the wine in a continuous process (the wine at no time having left the
premises of the bottling winery).
(b) Special rule for cooperatives. Grapes grown by members of a
cooperative bottling winery are considered grown by the bottling winery.
(c) Definition of ``Controlled''. For purposes of this section,
Controlled by refers to property on which the bottling winery has the
legal right to perform, and does perform, all of the acts common to
viticulture under the terms of a lease or similar agreement of at least
3 years duration.
(d) Use of other terms. No term other than Estate bottled may be
used on a label to indicate combined growing and bottling conditions.
[T.D. ATF-53, 43 FR 37676, Aug. 23, 1978, as amended by T.D. ATF-201, 50
FR 12533, Mar. 29, 1985]
Sec. 4.27 Vintage wine.
(a) General. Vintage wine is wine labeled with the year of harvest
of the grapes and made in accordance with the standards prescribed in
classes 1, 2, or 3 of Sec. 4.21. At least 95 percent of the wine must
have been derived from
[[Page 25]]
grapes harvested in the labeled calendar year, and the wine must be
labeled with an appellation of origin other than a country (which does
not qualify for vintage labeling). The appellation shall be shown in
direct conjunction with the designation required by Sec. 4.32(a)(2), in
lettering substantially as conspicuous as that designation. In no event
may the quantity of wine removed from the producing winery, under labels
bearing a vintage date, exceed the volume of vintage wine produced in
that winery during the year indicated by the vintage date.
(b) American wine. A permittee who produced and bottled or packed
the wine, or a person other than the producer who repackaged the wine in
containers of 5 liters (or 1-gallon before January 1, 1979) or less may
show the year of vintage upon the label if the person possesses
appropriate records from the producer substantiating the year of vintage
and the appellation of origin; and if the wine is made in compliance
with the provisions of paragraph (a) of this section.
(c) Imported wine. Imported wine may bear a vintage date if: (1) It
is made in compliance with the provisions of paragraph (a) of this
section; (2) it is bottled in containers of 5 liters (or 1-gallon before
January 1, 1979) or less prior to importation, or bottled in the United
States from the original container of the product (showing a vintage
date); (3) if the invoice is accompanied by, or the American bottler
possesses, a certificate issued by a duly authorized official of the
country of origin (if the country of origin authorizes the issuance of
such certificates) certifying that the wine is of the vintage shown,
that the laws of the country regulate the appearance of vintage dates
upon the labels of wine produced for consumption within the country of
origin, that the wine has been produced in conformity with those laws,
and that the wine would be entitled to bear the vintage date if it had
been sold within the country of origin.
[T.D. ATF-53, 43 FR 37676, Aug. 23, 1978, as amended by T.D. ATF-195, 50
FR 763, Jan. 7, 1985]
Sec. 4.28 Type designations of varietal significance.
The following are type designations of varietal significance for
American wine. These names may be used as type designations for American
wines only if the wine is labeled with an appellation of origin as
defined in Sec. 4.25a.
(a) Muscadine. An American wine which derives at least 75 percent of
its volume from Muscadinia rotundifolia grapes.
(b) Muscatel. An American wine which derives its predominant taste,
aroma, characteristics and at least 75 percent of its volume from any
Muscat grape source, and which meets the requirements of
Sec. 4.21(a)(3).
(c) Muscat or Moscato. An American wine which derives at least 75
percent of its volume from any Muscat grape source.
(d) Scuppernong. An American wine which derives at least 75 percent
of its volume from bronze Muscadinia rotundifolia grapes.
(e)(1) Gamay Beaujolais. An American wine which derives at least 75
percent of its volume from Pinot noir grapes, Valdiguie grapes, or a
combination of both.
(2) For wines bottled on or after January 1, 1999, and prior to
April 9, 2007, the name ``Gamay Beaujolais'' may be used as a type
designation only if there appears in direct conjunction therewith, but
on a separate line and separated by the required appellation of origin,
the name(s) of the grape variety or varieties used to satisfy the
requirements of paragraph (e)(1) of this section. Where two varietal
names are listed, they shall appear on the same line, in order of
predominance. The appellation of origin shall appear either on a
separate line between the name ``Gamay Beaujolais'' and the grape
variety name(s) or on the same line as the grape variety name(s) in a
manner that qualifies the grape variety name(s). The following statement
shall also appear on the brand or back label: ``Gamay Beaujolais is made
from at least 75 percent Pinot noir and/or Valdiguie grapes.''
(3) The designation ``Gamay Beaujolais'' may not be used on labels
of
[[Page 26]]
American wines bottled on or after April 9, 2007.
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-388, 62
FR 16490, Apr. 7, 1997; T.D. ATF-388a, 62 FR 33747, June 23, 1997]
Subpart D--Labeling Requirements for Wine
Sec. 4.30 General.
(a) Application. No person engaged in business as a producer,
rectifier, blender, importer, or wholesaler, directly or indirectly or
through an affiliate, shall sell or ship or deliver for sale or
shipment, or otherwise introduce in interstate or foreign commerce, or
receive therein, or remove from customs custody, any wine in containers
unless such wine is packaged, and such packages are marked, branded, and
labeled in conformity with this article. Wine domestically bottled or
packed prior to Dec. 15, 1936, and imported wine entered in customs bond
in containers prior to that date shall be regarded as being packaged,
marked, branded and labeled in accordance with this article, if the
labels on such wine (1) bear all the mandatory label information
required by Sec. 4.32, even though such information is not set forth in
the manner and form as required by Sec. 4.32 and other sections of this
title referred to therein, and (2) bear no statements, designs, or
devices which are false or misleading.
(b) Alteration of labels. (1) It shall be unlawful for any person to
alter, mutilate, destroy, obliterate or remove any mark, brand, or label
upon wine held for sale in interstate or foreign commerce or after
shipment therein, except as authorized by Federal law, or except as
provided in paragraph (b)(2) of this section: Provided, That the
appropriate ATF officer may, upon written application, permit additional
labeling or relabeling of wine for purposes of compliance with the
requirements of this part or of State law.
(2) No application for permission to relabel wine need be made in
any case where there is added to the container, after removal from
customs custody or from the premises where bottled or packed, a label
identifying the wholesale or retail distributor thereof, and containing
no reference whatever to the characteristics of the product.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-425, 65
FR 11891, Mar. 7, 2000]
Cross Reference: For customs warehouses and control of merchandise
therein, see 19 CFR part 19.
Sec. 4.32 Mandatory label information.
(a) There shall be stated on the brand label:
(1) Brand name, in accordance with Sec. 4.33.
(2) Class, type, or other designation, in accordance with Sec. 4.34.
(3) Alcohol content, in accordance with Sec. 4.36.
(4) On blends consisting of American and foreign wines, if any
reference is made to the presence of foreign wine, the exact percentage
by volume.
(b) There shall be stated on any label affixed to the container:
(1) Name and address, in accordance with Sec. 4.35.
(2) Net contents, in accordance with Sec. 4.37. If the net contents
is a standard of fill other than an authorized metric standard of fill
as prescribed in Sec. 4.73, the net contents statement shall appear on a
label affixed to the front of the bottle.
(c) There shall be stated on the brand label or on a back label a
statement that the product contains FD&C Yellow No. 5, where that
coloring material is used in a product bottled on or after October 6,
1984.
(d) There shall be stated on a front or back label, separate and
apart from all other information, the following statement when saccharin
is present in the finished product: Use of this product may be hazardous
to your health. This product contains saccharin which has been
determined to cause cancer in laboratory animals.
(e) Declaration of sulfites. There shall be stated on a front label,
back label, strip label or neck label, the statement ``Contains
sulfites'' or ``Contains (a) sulfiting agent(s)'' or a statement
identifying the specific sulfiting agent where sulfur dioxide or a
sulfiting agent is detected at a level of 10 or more parts per million,
measured as total sulfur dioxide. The provisions of this paragraph shall
apply to:
[[Page 27]]
(1) Any certificate of label approval issued on or after January 9,
1987;
(2) Any wine bottled on or after July 9, 1987, regardless of the
date of issuance of the certificate of label approval; and,
(3) Any wine removed on or after January 9, 1988.
(Paragraph (e) approved by the Office of Management and Budget under
Control No. 1512-0469)
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-150, 48
FR 45556, Oct. 6, 1983; T.D. ATF-195, 50 FR 763, Jan. 7, 1985; T.D. ATF-
220, 50 FR 51852, Dec. 20, 1985; T.D. ATF-236, 51 FR 34710, Sept. 30,
1986; T.D. ATF-282, 54 FR 7162, Feb. 16, 1989; T.D. ATF-312, 56 FR
31076, 31077, July 9, 1991]
Sec. 4.33 Brand names.
(a) General. The product shall bear a brand name, except that if not
sold under a brand name, then the name of the person required to appear
on the brand label shall be deemed a brand name for the purpose of this
part.
(b) Misleading brand names. No label shall contain any brand name,
which, standing alone, or in association with other printed or graphic
matter creates any impression or inference as to the age, origin,
identity, or other characteristics of the product unless the appropriate
ATF officer finds that such brand name, either when qualified by the
word ``brand'' or when not so qualified, conveys no erroneous
impressions as to the age, origin, identity, or other characteristics of
the product.
(c) Trade name of foreign origin. This section shall not operate to
prohibit the use by any person of any trade name or brand of foreign
origin not effectively registered in the United States Patent Office on
August 29, 1935, which has been used by such person or his predecessors
in the United States for a period of at least five years immediately
preceding August 29, 1935: Provided, That if such trade name or brand is
used, the designation of the product shall be qualified by the name of
the locality in the United States in which produced, and such
qualifications shall be in script, type, or printing as conspicuous as
the trade name or brand.
Sec. 4.34 Class and type.
(a) The class of the wine shall be stated in conformity with subpart
C of this part if the wine is defined therein, except that ``table''
(``light'') and ``dessert'' wines need not be designated as such. In the
case of still grape wine there may appear, in lieu of the class
designation, any varietal (grape type) designation, type designation of
varietal significance, semigeneric geographic type designation, or
geographic distinctive designation, to which the wine may be entitled.
In the case of champagne, or crackling wines, the type designation
``champagne'' or ``crackling wine'' (``petillant wine'', ``frizzante
wine'') may appear in lieu of the class designation ``sparkling wine''.
In the case of wine which has a total solids content of more than 17
grams per 100 cubic centimeters the words ``extra sweet'', ``specially
sweetened'', ``specially sweet'' or ``sweetened with excess sugar''
shall be stated as a part of the class and type designation. The last of
these quoted phrases shall appear where required by part 24 of this
chapter, on wines sweetened with sugar in excess of the maximum
quantities specified in such regulations. If the class of the wine is
not defined in subpart C, a truthful and adequate statement of
composition shall appear upon the brand label of the product in lieu of
a class designation. In addition to the mandatory designation for the
wine, there may be stated a distinctive or fanciful name, or a
designation in accordance with trade understanding. The statement of
composition will not include any reference to a varietal (grape type)
designation, type designation of varietal significance, semi-generic
geographic type designation, or geographic distinctive designation. All
parts of the designation of the wine, whether mandatory or optional,
shall be in direct conjunction and in lettering substantially of the
same size and kind.
(b) An appellation of origin such as ``American,'' ``New York,''
``Napa Valley,'' or ``Chilean,'' disclosing the true place of origin of
the wine, shall appear in direct conjunction with and in lettering
substantially as conspicuous as the class and type designation if:
[[Page 28]]
(1) A varietal (grape type) designation is used under the provisions
of Sec. 4.23;
(2) A type designation of varietal significance is used under the
provisions of Sec. 4.28;
(3) A semi-generic type designation is employed as the class and
type designation of the wine pursuant to Sec. 4.24(b);
(4) A product name is qualified with the word ``Brand'' under the
requirements of Sec. 4.39 (j); or
(5) The wine is labeled with the year of harvest of the grapes, and
otherwise conforms with the provisions of Sec. 4.27. The appellation of
origin for vintage wine shall be other than a country.
[T.D. ATF-53, 43 FR 37677, Aug. 23, 1978; T.D. ATF-48, 44 FR 55839,
Sept. 28, 1979, as amended by T.D. ATF-195, 50 FR 763, Jan. 7, 1985;
T.D. ATF-229, 51 FR 20482, June 5, 1986; T.D. ATF-312, 56 FR 31077, July
9, 1991; T.D. ATF-370, 61 FR 539, Jan. 8, 1996; T.D. ATF-431, 65 FR
59724, Oct. 6, 2000]
Sec. 4.35 Name and address.
(a) American wine. On labels of containers of American wine, there
shall be stated the name of the bottler or packer and the place where
bottled or packed (or until January 1, 1985, in lieu of such place, the
principal place of business of the bottler or packer if in the same
State where the wine was bottled or packed, and, if bottled or packed on
bonded premises, the AFT registry number of the premises) immediately
preceded by the words ``bottled by'' or ``packed by'' except that:
(1) If the bottler or packer is also the person who made not less
than 75 percent of such wine by fermenting the must and clarifying the
resulting wine, or if such person treated the wine in such manner as to
change the class thereof, there may be stated, in lieu of the words
``bottled by'' or ``packed by,'' the words ``produced and bottled by,''
or ``produced and packed by.''
(2) If the bottler or packer has also either made or treated the
wine, otherwise than as described in paragraph (a)(1) of this section,
there may be stated, in lieu of the words ``Bottled by'' or ``Packed
by'' the phrases ``Blended and bottled (packed) by,'' ``Rectified and
bottled (packed) by.'' ``Prepared and bottled (packed) by,'' ``Made and
bottled (packed) by,'' as the case may be, or, in the case of imitation
wine only, ``Manufactured and bottled (packed) by.''
(3) In addition to the name of the bottler or packer and the place
where bottled or packed (but not in lieu thereof) there may be stated
the name and address of any other person for whom such wine is bottled
or packed, immediately preceded by the words ``Bottled for'' or ``Packed
for'' or ``Distributed by'' or other similar statement; or the name and
principal place of business of the rectifier, blender, or maker,
immediately preceded by the words ``Rectified by,'' ``Blended by'' or
``Made by,'' respectively, or, in the case of imitation wine only,
``Manufactured by.''
(b) Imported wine. On labels of containers of imported wine, there
shall be stated the words ``Imported by'' or a similar appropriate
phrase, and immediately thereafter the name of the permittee who is the
importer, agent, sole distributor, or other person responsible for the
importation, together with the principal place of business in the United
States of such person. In addition, but not in lieu thereof, there may
be stated the name and principal place of business of the foreign
producer, blender, rectifier, maker, bottler, packer, or shipper,
preceded by the phrases ``Produced by,'' ``Blended by,'' ``Rectified
by,'' ``Made by,'' ``Bottled by,'' ``Packed by,'' ``Shipped by,''
respectively, or, in the case of imitation wine only, ``Manufactured
by.''
(1) If the wine is bottled or packed in the United States, there
shall be stated, in addition, the name of the bottler or packer and the
place where bottled or packed immediately preceded by the words
``bottled by'' or ``packed by'' except that if the wine is bottled or
packed in the United States for the person responsible for the
importation there may be stated, in lieu of the above-required
statements, the name and principal place of business in the United
States of such person, immediately preceded by the phrase ``imported by
and bottled (packed) in the United States for'' (or a similar
appropriate phrase). If, however, the wine is bottled or packed in the
United States
[[Page 29]]
by the person responsible for the importation there may be stated, in
lieu of the above-required statements, the name and principal place of
business in the United States of such person, immediately preceded by
the phrase ``Imported and bottled (packed) by'' or a similar appropriate
phrase.
(2) If the wine is blended, bottled, or packed in a foreign country
other than the country of origin and the country of origin is stated or
otherwise indicated on the label, there shall also be stated the name of
the bottler, packer, or blender, and the place where bottled, packed, or
blended, immediately preceded by the words ``Bottled by'', ``Packed
by'', ``Blended by'', or other appropriate statement.
(c) Form of address. The ``place'' stated shall be the post office
address (after December 31, 1984, the post office address shall be the
address shown on the basic permit or other qualifying document of the
premises at which the operations took place; and there shall be shown
the address for each operation which is designated on the label. An
example of such use would be ``Produced at Gilroy, California, and
bottled at San Mateo, California, by XYZ Winery''), except that the
street address may be omitted. No additional places or addresses shall
be stated for the same person unless (1) such person is actively engaged
in the conduct of an additional bona fide and actual alcoholic beverage
business at such additional place or address, and (2) the label also
contains in direct conjunction therewith, appropriate descriptive
material indicating the function occurring at such additional place or
address in connection with the particular product.
(d) Trade or operating names. The trade or operating name of any
person appearing upon any label shall be identical with a name appearing
on the basic permit or notice.
(e) This section does not apply after July 27, 1994.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. 7185, 37 FR
7976, Apr. 22, 1972; T.D. ATF-53, 43 FR 37677, Aug. 23, 1978; T.D. ATF-
126, 48 FR 2764, Jan. 21, 1983; T.D. ATF-194, 50 FR 759, Jan. 7, 1985;
T.D. ATF-209, 50 FR 27821, July 8, 1985T.D. ATF-328, 57 FR 33114, July
27, 1992]
Sec. 4.35a Name and address.
(a) American wine--(1) Mandatory statement. A label on each
container of American wine shall state either ``bottled by'' or ``packed
by'' followed by the name of the bottler or packer and the address (in
accordance with paragraph (c)) of the place where the wine was bottled
or packed. Other words may also be stated in addition to the required
words ``bottled by'' or ``packed by'' and the required name and address
if the use of such words is in accordance with paragraph (a)(2) of this
section.
(2) Optional statements. (i) In addition to the statement required
by paragraph (a)(1), the label may also state the name and address of
any other person for whom the wine was bottled or packed, immediately
preceded by the words ``bottled for'' or ``packed for'' or ``distributed
by.''
(ii) The words defined in paragraphs (a)(2)(iii)-(a)(2)(vi) may be
used, in accordance with the definitions given, in addition to the name
and address statement required by paragraph (a)(1). Use of these words
may be conjoined, using the word ``and'', and with the words ``bottled
by'' or ``packed by'' only if the same person performed the defined
operation at the same address. More than one name is necessary if the
defined operation was performed by a person other than the bottler or
packer and more than one address statement is necessary if the defined
operation was performed at a different address.
(iii) Produced or Made means that the named winery:
(A) Fermented not less than 75% of such wine at the stated address,
or
(B) Changed the class or type of the wine by addition of alcohol,
brandy, flavors, colors, or artificial carbonation at the stated
address, or
(C) Produced sparkling wine by secondary fermentation at the stated
address.
(iv) Blended means that the named winery mixed the wine with other
wines of the same class and type at the stated address.
(v) Cellared, Vinted or Prepared means that the named winery, at the
stated address, subjected the wine to cellar treatment in accordance
with Sec. 4.22(c).
[[Page 30]]
(b) Imported wine--(1) Mandatory statements. (i) A label on each
container of imported wine shall state ``imported by'' or a similar
appropriate phrase, followed immediately by the name of the importer,
agent, sole distributor, or other person responsible for the
importation, followed immediately by the address of the principal place
of business in the United States of the named person.
(ii) If the wine was bottled or packed in the United States, the
label shall also state one of the following:
(A) ``Bottled by'' or ``packed by'' followed by the name of the
bottler or packer and the address (in accordance with paragraph (c)) of
the place where the wine was bottled or packed; or
(B) If the wine was bottled or packed for the person responsible for
the importation, the words ``imported by and bottled (packed) in the
United States for'' (or a similar appropriate phrase) followed by the
name and address of the principal place of business in the United States
of the person responsible for the importation; or
(C) If the wine was bottled or packed by the person responsible for
the importation, the words ``imported and bottled (packed) by'' followed
by the name and address of the principal place of business in the United
States of the person responsible for the importation.
(iii) If the wine was blended, bottled or packed in a foreign
country other than the country of origin, and the label identifies the
country of origin, the label shall state ``blended by,'' ``bottled by,''
or ``packed by,'' or other appropriate statement, followed by the name
of the blender, bottler or packer and the place where the wine was
blended, bottled or packed.
(2) Optional statements. In addition to the statements required by
paragraph (b) (1), the label may also state the name and address of the
principal place of business of the foreign producer. Other words, or
their English-language equivalents, denoting winemaking operations may
be used in accordance with the requirements of the country of origin,
for wines sold within the country of origin.
(c) Form of address. The ``place'' stated shall be the post office
address shown on the basic permit or other qualifying document of the
premises at which the operations took place; and there shall be shown
the address for each operation which is designated on the label. An
example of such use would be ``Produced at Gilroy, California, and
bottled at San Mateo, California, by XYZ Winery,'' except that the
street address may be omitted. No additional places or addresses shall
be stated for the same person unless:
(1) Such person is actively engaged in the conduct of an additional
bona fide and actual alcoholic beverage business at such additional
place or address, and
(2) The label also contains in direct conjunction therewith,
appropriate descriptive material indicating the function occurring at
such additional place or address in connection with the particular
product.
(d) Trade or operating names. The trade or operating name of any
person appearing upon any label shall be identical with a name appearing
on the basic permit or other qualifying document.
(e) The provisions of this section are optional until they become
mandatory July 27, 1994.
[T.D. ATF-328, 57 FR 33114, July 27, 1992; 57 FR 37591, Aug. 19, 1992]
Sec. 4.36 Alcoholic content.
(a) Alcoholic content shall be stated in the case of wines
containing more than 14 percent of alcohol by volume, and, in the case
of wine containing 14 percent or less of alcohol by volume, either the
type designation ``table'' wine (``light'' wine) or the alcoholic
content shall be stated. Any statement of alcoholic content shall be
made as prescribed in paragraph (b) of this section.
(b) Alcoholic content shall be stated in terms of percentage of
alcohol by volume, and not otherwise, as provided in either paragraph
(b)(1) or (2) of this section:
(1) ``Alcohol ---- % by volume,'' or similar appropriate phrase;
Provided, that if the word ``alcohol'' and/or ``volume'' are
abbreviated, they shall be shown as ``alc.'' (alc) and/or ``vol.''
(vol), respectively. Except as provided in paragraph (c) of this
section, a tolerance of 1 percent, in the case of wines
[[Page 31]]
containing more than 14 percent of alcohol by volume, and of 1.5
percent, in the case of wines containing 14 percent or less of alcohol
by volume, will be permitted either above or below the stated
percentage.
(2) ``Alcohol ---- % to ---- % by volume,'' or similar appropriate
phrase; Provided, that if the word ``alcohol'' and/or ``volume'' are
abbreviated, they shall be shown as ``alc.'' (alc) and/or ``vol.''
(vol), respectively. Except as provided in paragraph (c) of this
section, a range of not more than 2 percent, in the case of wines
containing more than 14 percent of alcohol by volume, and of not more
than 3 percent, in the case of wines containing 14 percent or less of
alcohol by volume, will be permitted between the minimum and maximum
percentages stated, and no tolerances will be permitted either below
such minimum or above such maximum.
(c) Regardless of the type of statement used and regardless of
tolerances normally permitted in direct statements and ranges normally
permitted in maximum and minimum statements, alcoholic content
statements, whether required or optional, shall definitely and correctly
indicate the class, type and taxable grade of the wine so labeled and
nothing in this section shall be construed as authorizing the appearance
upon the labels of any wine of an alcoholic content statement in terms
of maximum and minimum percentages which overlaps a prescribed
limitation on the alcoholic content of any class, type, or taxable grade
of wine, or a direct statement of alcoholic content which indicates that
the alcoholic content of the wine is within such a limitation when in
fact it is not.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-275, 53
FR 27046, July 18, 1988]
Sec. 4.37 Net contents.
(a) Statement of net contents. The net contents of wine for which a
standard of fill is prescribed in Sec. 4.73 shall be stated in the same
manner and form as set forth in the standard of fill. The net content of
wine for which no standard of fill is prescribed in Sec. 4.73 shall be
stated in the metric system of measure as follows:
(1) If more than one liter, net contents shall be stated in liters
and in decimal portions of a liter accurate to the nearest one-hundredth
of a liter.
(2) If less than one liter, net contents shall be stated in
milliliters (ml).
(b) Statement of U.S. equivalent net contents. When net contents of
wine are stated in metric measure, the equivalent volume in U.S. measure
may also be shown. If shown, the U.S. equivalent volume will be shown as
follows:
(1) For the metric standards of fill: 3 liters (101 fl. oz.); 1.5
liters (50.7 fl. oz.); 1 liter (33.8 fl. oz.); 750 ml (25.4 fl. oz.);
500 ml (16.9 fl. oz.); 375 ml (12.7 fl. oz.); 187 ml (6.3 fl. oz.); 100
ml (3.4 fl. oz.); and 50 ml (1.7 fl. oz.).
(2) Equivalent volumes of less than 100 fluid ounces will be stated
in fluid ounces only, accurate to the nearest one-tenth of a fluid
ounce; for example, 700 ml (23.7 fl. oz.).
(3) Equivalent volumes of 100 fluid ounces or more will be stated in
fluid ounces only, accurate to the nearest whole fluid ounce; for
example, 6 liters (203 fl. oz.).
(c) Net contents marked in bottle. The net contents need not be
stated on any label if the net contents are displayed by having the same
blown, etched, sand-blasted, marked by underglaze coloring, or otherwise
permanently marked by any method approved by the appropriate ATF
officer, in the sides, front, or back of the bottle, in letters and
figures in such manner as to be plainly legible under ordinary
circumstances, and such statement is not obscured in any manner in whole
or in part.
(d) Tolerances. Statement of net contents shall indicate exactly the
volume of wine within the container, except that the following
tolerances shall be allowed:
(1) Discrepancies due exclusively to errors in measuring which occur
in filling conducted in compliance with good commercial practice.
(2) Discrepancies due exclusively to differences in the capacity of
containers, resulting solely from unavoidable difficulties in
manufacturing such
[[Page 32]]
containers so as to be of uniform capacity: Provided, That no greater
tolerance shall be allowed in case of containers which, because of their
design, cannot be made of approximately uniform capacity than is allowed
in case of containers which can be manufactured so as to be of
approximately uniform capacity.
(3) Discrepancies in measure due to differences in atmospheric
conditions in various places and which unavoidably result from the
ordinary and customary exposure of alcoholic beverages in containers to
evaporation. The reasonableness to discrepancies under this paragraph
shall be determined on the facts in each case.
(e) Unreasonable shortages. Unreasonable shortages in certain of the
containers in any shipment shall not be compensated by overages in other
containers in the same shipment.
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981; T.D. ATF-
303, 55 FR 42713, Oct. 23, 1990]
Sec. 4.38 General requirements.
(a) Legibility. All labels shall be so designed that all the
statements thereon required by Secs. 4.30 through 4.39 are readily
legible under ordinary conditions, and all such statement shall be on a
contrasting background.
(b) Size of type. (1) Containers of more than 187 milliliters. All
mandatory information required on labels by this part, except the
alcoholic content statement, shall be in script, type, or printing not
smaller than 2 millimeters; except that if contained among other
descriptive or explanatory information, the script, type, or printing of
the mandatory information shall be of a size substantially more
conspicuous than that of the descriptive or explanatory information.
(2) Containers of 187 milliliters or less. All mandatory information
required on labels by this part, except the alcoholic content statement,
shall not be smaller than 1 millimeter, except that if contained among
other descriptive or explanatory information, the script, type, or
printing of the mandatory information shall be of a size substantially
more conspicuous than that of the descriptive or explanatory
information.
(3) Alcoholic content statements shall not appear in script, type,
or printing larger or more conspicuous than 3 millimeters nor smaller
than 1 millimeter on labels of containers having a capacity of 5 liters
or less and shall not be set off with a border or otherwise accentuated.
(c) English language. All mandatory label information shall be
stated on labels in the English language, except that the brand name,
the place of production, and the name of the manufacturer, producer,
blender, bottler, packer, or shipper appearing on the label need not be
in the English language if the words ``product of'' immediately precede
the name of the country of origin stated in accordance with customs
requirements. Additional statements in foreign languages may be made on
labels, if they do not in any way conflict with, or contradict the
requirements of Secs. 4.30 through 4.39.
(d) Location of label. Labels shall not obscure Government stamps
nor be obscured thereby.
(e) Labels firmly affixed. All labels shall be affixed to containers
of wine in such manner that they cannot be removed without thorough
application of water or other solvents.
(f) Additional information on labels. Labels may contain information
other than the mandatory label information required by Secs. 4.30
through 4.39, if such information complies with the requirements of such
sections and does not conflict with, nor in any manner qualify
statements required by this part. In addition, information which is
truthful, accurate, and specific, and which is neither disparaging nor
misleading may appear on wine labels.
(g) Representations as to materials. If any representation (other
than representations or information required by Secs. 4.30 through 4.39
or percentage statements required or permitted by this part) is made as
to the presence, excellence, or other characteristic of any ingredient
in any wine, or used in its production, the label containing such
representation shall state, in print, type, or script, substantially as
conspicuous as such representation,
[[Page 33]]
the name and amount in percent by volume of each such ingredient.
(h) Statement of contents of containers. Upon request of the
appropriate ATF officer, there shall be submitted a full and accurate
statement of the contents of the containers to which labels are to be or
have been affixed.
[T.D. ATF-53, 43 FR 37677, Aug. 23, 1978, as amended by T.D. ATF-66, 45
FR 40544, June 13, 1980; T.D. ATF-94, 46 FR 55095, Nov. 6, 1981; T.D.
ATF-249, 52 FR 5955, Feb. 27, 1987; T.D. ATF-275, 53 FR 27046, July 18,
1988; T.D. ATF-312, 56 FR 31077, July 9, 1991]
Sec. 4.38a Bottle cartons, booklets and leaflets.
(a) General. An individual covering, carton, or other container of
the bottle used for sale at retail (other than a shipping container), or
any written, printed, graphic, or other matter accompanying the bottle
to the consumer buyer shall not contain any statement, design, device,
or graphic, pictorial, or emblematic representation that is prohibited
by Secs. 4.30 through 4.39 on labels.
(b) Sealed cartons. If bottles are enclosed in sealed opaque
coverings, cartons, or other containers used for sale at retail (other
than a shipping container), such coverings, cartons, or other containers
must bear all mandatory label information.
(c) Other cartons. (1) If an individual covering, carton, or other
container of the bottle used for sale at retail (other than a shipping
container) is so designed that the bottle is readily removable, it may
display any information which is not in conflict with the label on the
bottle contained therein.
(2) Cartons displaying brand names and/or designations must display
such names and designations in their entirety--brand names required to
be modified, e.g. by ``Brand'' or ``Product of U.S.A.'', must also
display such modification.
(3) Wines for which a truthful and adequate statement of composition
is required must display such statement.
[T.D. ATF-36, 41 FR 47425, Oct. 29, 1976]
Sec. 4.39 Prohibited practices.
(a) Statements on labels. Containers of wine, or any label on such
containers, or any individual covering, carton, or other wrapper of such
container, or any written, printed, graphic, or other matter
accompanying such container to the consumer shall not contain:
(1) Any statement that is false or untrue in any particular, or
that, irrespective of falsity, directly, or by ambiguity, omission, or
inference, or by the addition of irrelevant, scientific or technical
matter, tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's products.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards, or tests, irrespective of falsity, which the
appropriate ATF officer finds to be likely to mislead the consumer.
(5) Any statement, design, device or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate ATF
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) A trade or brand name that is the name of any living individual
of public prominence, or existing private or public organization, or is
a name that is in simulation or is an abbreviation thereof, or any
graphic, pictorial, or emblematic representation of any such individual
or organization, if the use of such name or representation is likely
falsely to lead the consumer to believe that the product has been
endorsed, made, or used by, or produced for, or under the supervision
of, or in accordance with the specifications of, such individual or
organization; Provided, That this paragraph shall not apply to the use
of the name of any person engaged in business as a producer, blender,
rectifier, importer, wholesaler, retailer, bottler, or warehouseman of
wine, nor to the use by any person of a trade or brand name that is the
name of any living individual of public prominence or existing private
or public organization, provided such trade or brand name was used by
him or his predecessors in interest prior to August 29, 1935.
(7) Any statement, design, device, or representation (other than a
statement of alcohol content in conformity with
[[Page 34]]
Sec. 4.36), which tends to create the impression that a wine:
(i) Contains distilled spirits;
(ii) Is comparable to a distilled spirit; or
(iii) Has intoxicating qualities.
However, if a statement of composition is required to appear as the
designation of a product not defined in these regulations, such
statement of composition may include a reference to the type of
distilled spirits contained therein.
(8) Any coined word or name in the brand name or class and type
designation which simulates, imitates, or which tends to create the
impression that the wine so labeled is entitled to bear, any class,
type, or permitted designation recognized by the regulations in this
part unless such wine conforms to the requirements prescribed with
respect to such designation and is in fact so designated on its labels.
(9) Any word in the brand name or class and type designation which
is the name of a distilled spirits product or which simulates, imitates,
or created the impression that the wine so labeled is, or is similar to,
any product customarily made with a distilled spirits base. Examples of
such words are: ``Manhattan,'' ``Martini,'' and ``Daquiri'' in a class
and type designation or brand name of a wine cocktail; ``Cuba Libre,''
``Zombie,'' and ``Collins'' in a class and type designation or brand
name of a wine specialty or wine highball; ``creme,'' ``cream,'' ``de,''
or ``of'' when used in conjunction with ``menthe,'' ``mint,'' or
``cacao'' in a class and type designation or a brand name of a mint or
chocolate flavored wine specialty.
(b) Statement of age. No statement of age or representation relative
to age (including words or devices in any brand name or mark) shall be
made, except (1) for vintage wine, in accordance with the provisions of
Sec. 4.27; (2) references relating to methods of wine production
involving storage or aging in accordance with Sec. 4.38(f); or (3) use
of the word ``old'' as part of a brand name.
(c) Statement of bottling dates. The statement of any bottling date
shall not be deemed to be a representation relative to age, if such
statement appears in lettering not greater than 8-point Gothic caps and
in the following form: ``Bottled in ----'' (inserting the year in which
the wine was bottled).
(d) Statement of miscellaneous dates. No date, except as provided in
paragraphs (b) and (c) of this section with respect to statement of
vintage year and bottling date, shall be stated on any label unless in
addition thereto and in direct conjunction therewith in the same size
and kind of printing, there shall be stated an explanation of the
significance thereof such as ``established'' or ``founded in''. If any
such date refers to the date of establishment of any business or brand
name, it shall not be stated, in the case of containers of a capacity of
5 liters or less, in any script, type, or printing larger than 2
millimeters, and shall be stated in direct conjunction with the name of
the person, company, or brand name to which it refers if the appropriate
ATF officer finds that this is necessary in order to prevent confusion
as to the person, company, or brand name to which the establishment date
is applicable.
(e) Simulation of Government stamps. (1) No labels shall be of such
design as to resemble or simulate a stamp of the United States
Government or any State or foreign government. No label, other than
stamps authorized or required by the United States Government or any
State or foreign government, shall state or indicate that the wine
contained in the labeled container is produced, blended, bottled,
packed, or sold under, or in accordance with, any municipal, State or
Federal Government authorization, law, or regulation, unless such
statement is required or specifically authorized by Federal, State or
municipal law or regulation, or is required or specifically authorized
by the laws or regulations of a foreign country. If the municipal,
State, or Federal Government permit number is stated upon a label, it
shall not be accompanied by any additional statement relating thereto.
(2) Bonded wine cellar and bonded winery numbers may be stated but
only in direct conjunction with the name and address of the person
operating such wine cellar or winery. Statement of bonded wine cellar or
winery numbers may be made in the
[[Page 35]]
following form: ``Bonded Wine Cellar No. ----'', ``Bonded Winery No. --
--'', ``B. W. C. No. ----'', ``B. W. No. ----''. No additional reference
thereto shall be made, nor shall any use be made of such statement that
may convey the impression that the wine has been made or matured under
Government supervision or in accordance with Government specifications
or standards.
(3) If imported wines are covered by a certificate of origin and/or
a certificate of vintage date issued by a duly authorized official of
the appropriate foreign government, the label, except where prohibited
by the foreign government, may refer to such certificate or the fact of
such certification, but shall not be accompanied by any additional
statements relating thereto. The reference to such certificate or
certification shall be substantially in the following form:
This product accompanied at the time of the importation by a
certificate issued by the
________________________________________________________________________
(Name of government)
government indicating that the product is
________________________________________________________________________
(Class and type as stated on the label)
and (if label bears a statement of vintage date) that the wine is of
the vintage of
________________________________________________________________________
(Year of vintage stated on the label)
(f) Use of the word ``Importer'', or similar words. The word
Importer, or similar words, shall not be stated on labels on containers
of domestic wine except as part of the bona fide name of a permittee for
or by whom, or of a retailer for whom, such wine is bottled, packed or
distributed: Provided, That in all cases where such words are used as
part of such name, there shall be stated on the same label the words
``Product of the United States'', or similar words to negative any
impression that the product is imported, and such negative statement
shall appear in the same size and kind of printing as such name.
(g) Flags, seals, coats of arms, crests, and other insignia. Labels
shall not contain, in the brand name or otherwise, any statement,
design, device, or pictorial representation which the appropriate ATF
officer finds relates to, or is capable of being construed as relating
to, the armed forces of the United States, or the American flag, or any
emblem, seal, insignia, or decoration associated with such flag or armed
forces; nor shall any label contain any statement, design, device, or
pictorial representation of or concerning any flag, seal, coat of arms,
crest or other insignia, likely to mislead the consumer to believe that
the product has been endorsed, made, or used by, or produced for, or
under the supervision of, or in accordance with the specifications of
the government, organization, family, or individual with whom such flag,
seal, coat of arms, crest, or insignia is associated.
(h) Curative and therapeutic claims. Labels shall not contain any
statement, design, representation, pictorial representation, or device
representing that the use of wine has curative or therapeutic effects if
such statement is untrue in any particular or tends to create a
misleading impression.
(i) Geographic brand names. (1) Except as provided in subparagraph
2, a brand name of viticultural significance may not be used unless the
wine meets the appellation of origin requirements for the geographic
area named.
(2) For brand names used in existing certificates of label approval
issued prior to July 7, 1986:
(i) The wine shall meet the appellation of origin requirements for
the geographic area named; or
(ii) The wine shall be labeled with an appellation of origin in
accordance with Sec. 4.34(b) as to location and size of type of either:
(A) A county or a viticultural area, if the brand name bears the
name of a geographic area smaller than a state, or;
(B) A state, county or a viticultural area, if the brand name bears
a state name; or
(iii) The wine shall be labeled with some other statement which the
appropriate ATF officer finds to be sufficient to dispel the impression
that the geographic area suggested by the brand name is indicative of
the origin of the wine.
(3) A name has viticultural significance when it is the name of a
state or county (or the foreign equivalents),
[[Page 36]]
when approved as a viticultural area in part 9 of this chapter, or by a
foreign government, or when found to have viticultural significance by
the appropriate ATF officer.
(j) Product names of geographical significance (not mandatory before
January 1, 1983). The use of product names with specific geographical
significance is prohibited unless the appropriate ATF officer finds that
because of their long usage, such names are recognized by consumers as
fanciful product names and not representations as to origin. In such
cases the product names shall be qualified with the word ``brand''
immediately following the product name, in the same size of type, and as
conspicuous as the product name itself. In addition, the label shall
bear an appellation of origin under the provisions of Sec. 4.34(b), and,
if required by the appropriate ATF officer, a statement disclaiming the
geographical reference as a representation as to the origin of the wine.
(k) Other indications of origin. Other statements, designs, devices
or representations which indicate or infer an origin other than the true
place of origin of the wine are prohibited.
(l) Foreign terms. Foreign terms which: (1) Describe a particular
condition of the grapes at the time of harvest (such as ``Auslese,''
``Eiswein,'' and ``Trockenbeerenauslese''); or (2) denote quality under
foreign law (such as ``Qualitatswein'' and ``Kabinett'') may not be used
on the labels of American wine.
(m) Use of a vineyard, orchard, farm or ranch name. When used in a
brand name, a vineyard, orchard, farm or ranch name having geographical
or viticultural significance is subject to the requirements of
Secs. 4.33(b) and 4.39(i) of this part. Additionally, the name of a
vineyard, orchard, farm or ranch shall not be used on a wine label,
unless 95 percent of the wine in the container was produced from primary
winemaking material grown on the named vineyard, orchard, farm or ranch.
(n) Use of a varietal name, type designation of varietal
significance, semi-generic name, or geographic distinctive designation.
Labels that contain in the brand name, product name, or distinctive or
fanciful name, any varietal (grape type) designation, type designation
of varietal significance, semi-generic geographic type designation, or
geographic distinctive designation, are misleading unless the wine is
made in accordance with the standards prescribed in classes 1, 2, or 3
of Sec. 4.21. Any other use of such a designation on other than a class
1, 2, or 3 wine is presumed misleading.
[T.D. 6521, 25 FR 13841, Dec. 29, 1960, as amended by T.D. ATF-53, 43 FR
37678, Aug. 23, 1978; T.D. ATF-94, 46 FR 55095, Nov. 6, 1981; T.D. ATF-
126, 48 FR 2764, Jan. 21, 1983; T.D. ATF-180, 49 FR 31671, Aug. 8, 1984;
T.D. ATF-229, 51 FR 20482, June 5, 1986; 51 FR 21547, June 13, 1986;
T.D. ATF-355, 59 FR 14553, Mar. 29, 1994; T.D. ATF-431, 65 FR 59724,
Oct. 6, 2000]
Effective Date Note: By T.D. TTB-1, 68 FR 10103, Mar. 3, 2003,
Sec. 4.39 was amended by revising paragraph (h), effective June 2, 2003.
For the convenience of the user, the revised text is set forth as
follows:
Sec. 4.39 Prohibited practices.
* * * * *
(h) Health-related statements--(1) Definitions. When used in this
paragraph (h), terms are defined as follows:
(i) Health-related statement means any statement related to health
(other than the warning statement required by Sec. 16.21 of this
chapter) and includes statements of a curative or therapeutic nature
that, expressly or by implication, suggest a relationship between the
consumption of alcohol, wine, or any substance found within the wine,
and health benefits or effects on health. The term includes both
specific health claims and general references to alleged health benefits
or effects on health associated with the consumption of alcohol, wine,
or any substance found within the wine, as well as health-related
directional statements. The term also includes statements and claims
that imply that a physical or psychological sensation results from
consuming the wine, as well as statements and claims of nutritional
value (e.g., statements of vitamin content). Statements concerning
caloric, carbohydrate, protein, and fat content do not constitute
nutritional claims about the product.
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
wine, alcohol, or any substance found within the wine, to a disease or
health-related condition. Implied specific health claims include
statements, symbols, vignettes, or other forms of communication
[[Page 37]]
that suggest, within the context in which they are presented, that a
relationship exists between wine, alcohol, or any substance found within
the wine, and a disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of wine or
alcohol consumption.
(2) Rules for labeling--(i) Health-related statements. In general,
labels may not contain any health-related statement that is untrue in
any particular or tends to create a misleading impression as to the
effects on health of alcohol consumption. TTB will evaluate such
statements on a case-by-case basis and may require as part of the
health-related statement a disclaimer or some other qualifying statement
to dispel any misleading impression conveyed by the health-related
statement.
(ii) Specific health claims. (A) TTB will consult with the Food and
Drug Administration (FDA), as needed, on the use of a specific health
claim on a wine label. If FDA determines that the use of such a labeling
claim is a drug claim that is not in compliance with the requirements of
the Federal Food, Drug, and Cosmetic Act, TTB will not approve the use
of that specific health claim on a wine label.
(B) TTB will approve the use of a specific health claim on a wine
label only if the claim is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health
claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of wine or alcohol consumption is
presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of wine or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement
the following disclaimer: ``This statement should not encourage you to
drink or to increase your alcohol consumption for health reasons;'' or
(2) Includes as part of the health-related directional statement
some other qualifying statement that the appropriate TTB officer finds
is sufficient to dispel any misleading impression conveyed by the
health-related directional statement.
* * * * *
Subpart E--Requirements for Withdrawal of Wine From Customs Custody
Sec. 4.40 Label approval and release.
(a) Certificate of label approval. No imported beverage wine in
containers shall be released from U.S. Customs custody for consumption
unless there is deposited with the appropriate Customs officer at the
port of entry the original or a photostatic copy of an approved
certificate of label approval, ATF Form 5100.31.
(b) If the original or photostatic copy of ATF Form 5100.31 has been
approved, the brand or lot of imported wine bearing labels identical
with those shown thereon may be released from U.S. Customs custody.
(c) Relabeling. Imported wine in U.S. Customs custody which is not
labeled in conformity with certificates of label approval issued by the
appropriate ATF officer must be relabeled prior to release under the
supervision and direction of Customs officers of the port at which the
wine is located.
(d) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval, as well as appeal
procedures, see part 13 of this chapter.
[T.D. ATF-66, 45 FR 40546, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55095, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-359, 59 FR 42160, Aug. 17, 1994; T.D. ATF-406, 64 FR 2128, Jan. 13,
1999]
Sec. 4.45 Certificates of origin and identity.
Imported wine shall not be released from customs custody for
consumption unless the invoice is accompanied by a certificate of origin
issued by a duly authorized official of the appropriate foreign
government, if the issuance of such certificates with respect to such
wine has been authorized by the foreign government concerned, certifying
as to the identity of the wine and that the wine has been produced in
compliance with the laws of the respective
[[Page 38]]
foreign government regulating the production of such wine for home
consumption.
Sec. 4.46 Certificate of nonstandard fill.
A person may import wine in containers not conforming to the metric
standards of fill prescribed at Sec. 4.73 if the wine is:
(a) Accompanied by a statement signed by a duly authorized official
of the appropriate foreign country, stating that the wine was bottled or
packed before January 1, 1979;
(b) Being withdrawn from a Customs bonded warehouse into which it
was entered before January 1, 1979; or
(c) Exempt from the standard of fill requirements as provided by
Sec. 4.70(b)(1) or (2).
[T.D. ATF-76, 46 FR 1727, Jan. 7, 1981]
Subpart F--Requirements for Approval of Labels of Wine Domestically
Bottled or Packed
Sec. 4.50 Certificates of label approval.
(a) No person shall bottle or pack wine, other than wine bottled or
packed in U.S. Customs custody, or remove such wine from the plant where
bottled or packed, unless an approved certificate of label approval, ATF
Form 5100.31, is issued by the appropriate ATF officer.
(b) Any bottler or packer of wine shall be exempt from the
requirements of this section if upon application the bottler or packer
shows to the satisfaction of the appropriate ATF officer that the wine
to be bottled or packed is not to be sold, offered for sale, or shipped
or delivered for shipment, or otherwise introduced in interstate or
foreign commerce. Application for exemption shall be made on ATF Form
5100.31 in accordance with instructions on the form. If the application
is approved, a certificate of exemption will be issued on the same form.
(c) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval, and certificates of
exemption from label approval, as well as appeal procedures, see part 13
of this chapter.
[T.D. ATF-66, 45 FR 40546, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55095, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-344, 58 FR 40354, July 28, 1993; T.D. ATF-406, 64 FR 2128, Jan. 13,
1999; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Sec. 4.51 Exhibiting certificates to Government officials.
Any bottler or packer holding an original or duplicate original of a
certificate of label approval or a certificate of exemption shall, upon
demand, exhibit such certificate to a duly authorized representative of
the United States Government.
Sec. 4.52 Photoprints.
Photoprints or other reproductions of certificates of label approval
or certificates of exemption are not acceptable, for the purposes of
Secs. 4.50 through 4.52, as substitutes for an original or duplicate
original of a certificate of label approval, or a certificate of
exemption. The appropriate ATF officer will, upon the request of the
bottler or packer, issue duplicate originals of certificates of label
approval or of certificates of exemption if wine under the same brand is
bottled or packed at more than one plant by the same person, and if the
necessity for the duplicate originals is shown and there is listed with
the appropriate ATF officer the name and address of the additional
bottling or packing plant where the particular label is to be used.
Subpart G--Advertising of Wine
Sec. 4.60 Application.
No person engaged in the business as a producer, rectifier, blender,
importer, or wholesaler of wine, directly or indirectly or through an
affiliate, shall publish or disseminate or cause to be published or
disseminated by radio or television broadcast, or in any newspaper,
periodical, or any publication, by any sign or outdoor advertisement, or
any other printed or graphic matter,
[[Page 39]]
any advertisement of wine, if such advertising is in, or is calculated
to induce sale in, interstate or foreign commerce, or is disseminated by
mail, unless such advertisement is in conformity with Secs. 4.60-4.65 of
this part. Provided, that such sections shall not apply to outdoor
advertising in place on September 7, 1984, but shall apply upon
replacement, restoration, or renovation of any such advertising; and
provided further, that such sections shall not apply to a retailer or
the publisher of any newspaper, periodical, or other publication, or
radio or television broadcast, unless such retailer or publisher or
radio or television broadcaster is engaged in business as a producer,
rectifier, blender, importer, or wholesaler of wine, directly or
indirectly, or through an affiliate.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984]
Sec. 4.61 Definitions.
As used in Secs. 4.60 through 4.65 of this part, the term
advertisement includes any written or verbal statement, illustration, or
depiction which is in, or calculated to induce sales in, interstate or
foreign commerce, or is disseminated by mail, whether it appears in a
newspaper, magazine, trade booklet, menu, wine card, leaflet, circular,
mailer, book insert, catalog, promotional material, sales pamphlet, or
any written, printed, graphic, or other matter accompanying the
container, representations made on cases, billboard, sign, or othe
outdoor display, public transit card, other periodical literature,
publication, or in a radio or television broadcast, or in any other
media; except that such term shall not include:
(a) Any label affixed to any container of wine, or any individual
covering, carton, or other wrapper of such container which constitute a
part of the labeling under provisions of Secs. 4.30-4.39 of this part.
(b) Any editorial or other reading material (i.e., news release) in
any periodical or publication or newspaper for the publication of which
no money or valuable consideration is paid or promised, directly or
indirectly, by any permittee, and which is not written by or at the
direction of the permittee.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984]
Sec. 4.62 Mandatory statements.
(a) Responsible advertiser. The advertisement shall state the name
and address of the permittee responsible for its publication or
broadcast. Street number and name may be omitted in the address.
(b) Class, type, and distinctive designation. The advertisement
shall contain a conspicuous statement of the class, type, or distinctive
designation to which the product belongs, corresponding with the
statement of class, type, or distinctive designation which is required
to appear on the label of the product.
(c) Exception. (1) If an advertisement refers to a general wine line
or all of the wine products of one company, whether by the company name
or by the brand name common to all the wine in the line, the only
mandatory information necessary is the name and address of the
responsible advertiser. This exception does not apply where only one
type of wine is marketed under the specific brand name advertised.
(2) On consumer specialty items, the only information necessary is
the company name or brand name of the product.
[T.D. 6521, 25 FR 13835, Dec. 29, 1960, as amended by T.D. ATF-180, 49
FR 31672, Aug. 8, 1984]
Sec. 4.63 Legibility of mandatory information.
(a) Statements required under Secs. 4.60 through 4.65 of this part
to appear in any written, printed, or graphic advertisement shall be in
lettering or type size sufficient to be conspicuous and readily legible.
(b) In the case of signs, billboards, and displays the name and
address of the permittee responsible for the advertisement may appear in
type size of lettering smaller than the other mandatory information,
provided such information can be ascertained upon closer examination of
the sign or billboard.
(c) Mandatory information shall be so stated as to be clearly a part
of the advertisement and shall not be separated in any manner from the
remainder of the advertisement.
[[Page 40]]
(d) Mandatory information for two or more products shall not be
stated unless clearly separated.
(e) Mandatory information shall be so stated in both the print and
audio-visual media that it will be readily apparent to the persons
viewing the advertisement.
[T.D. ATF-180, 49 FR 31672, Aug. 8, 1984]
Sec. 4.64 Prohibited practices.
(a) Restrictions. The advertisement of wine shall not contain:
(1) Any statement that is false or untrue in any material
particular, or that, irrespective of falsity, directly, or by ambiguity,
omission, or inference, or by the addition of irrelevant, scientific or
technical matter tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's products.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards, or tests, irrespective of falsity, which the
appropriate ATF officer finds to be likely to mislead the consumer.
(5) Any statement, design, device, or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate ATF
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) Any statement that the wine is produced, blended, bottled,
packed, or sold under, or in accordance with, any municipal, State, or
Federal Government authorization, law, or regulations; and if a
municipal, State, or Federal permit number is stated, the permit number
shall not be accompanied by any additional statement relating thereto.
(7) Any statement of bonded winecellar and bonded winery numbers
unless stated in direct conjunction with the name and address of the
person operating such winery or storeroom. Statement of bonded
winecellar and bonded winery numbers may be made in the following form:
``Bonded Winecellar No. ----,'' ``Bonded Winery No. ----,'' ``B. W. C.
No. ----,'' ``B. W. No. ----.'' No additional reference thereto shall be
made, nor shall any use be made of such statement that may convey the
impression that the wine has been made or matured under Government
supervision or in accordance with Government specifications or
standards.
(8) Any statement, design, device, or representation which relates
to alcohol content or which tends to create the impression that a wine:
(i) Contains distilled spirits; or
(ii) Is comparable to a distilled spirit; or
(iii) Has intoxicating qualities.
However, if a statement of composition is required to appear as the
designation of a product not defined in these regulations, such
statement of composition may include a reference to the type of
distilled spirits contained therein. Further, an approved wine label,
which bears the statement of alcohol content may be depicted in any
advertising media, or an actual wine bottle showing the approved label
bearing the statement of alcoholic content may be displayed in any
advertising media.
(9) Any word in the brand name or class and type designation which
is the name of a distilled spirits product or which simulates, imitates,
or creates the impression that the wine so labeled is, or is similar to,
any product customarily made with a distilled spirits base.
(b) Statements inconsistent with labeling. (1) Advertisements shall
not contain any statement concerning a brand or lot of wine that is
inconsistent with any statement on the labeling thereof.
(2) Any label depicted on a bottle in an advertisement shall be a
reproduction of an approved label.
(c) Statement of age. No statement of age or representation relative
to age (including words or devices in any brand name or mark) shall be
made, except (1) for vintage wine, in accordance with the provisions of
Sec. 4.27; (2) references in accordance with Sec. 4.38(f); or (3) use of
the word ``old'' as part of a brand name.
(d) Statement of bottling dates. The statement of any bottling date
shall not be deemed to be a representation relative to age, if such
statement appears without undue emphasis in the
[[Page 41]]
following form: ``Bottled in ----'' (inserting the year in which the
wine was bottled).
(e) Statement of miscellaneous dates. No date, except as provided in
paragraphs (c) and (d) of this section, with respect to statement of
vintage year and bottling date, shall be stated unless, in addition
thereto, and in direct conjunction therewith, in the same size and kind
of printing there shall be stated an explanation of the significance of
such date: Provided, That if any date refers to the date of
establishment of any business, such date shall be stated without undue
emphasis and in direct conjunction with the name of the person to whom
it refers.
(f) Flags, seals, coats of arms, crests, and other insignia. No
advertisement shall contain any statement, design, device, or pictorial
representation of or relating to, or capable of being construed as
relating to, the armed forces of the United States, or of the American
flag, or of any emblem, seal, insignia, or decoration associated with
such flag or armed forces; nor shall any advertisement contain any
statement, device, design, or pictorial representation of or concerning
any flag, seal, coat of arms, crest, or other insignia likely to mislead
the consumer to believe that the product has been endorsed, made, or
used by, or produced for, or under the supervision of, or in accordance
with the specifications of the government, organization, family, or
individual with whom such flag, seal, coat of arms, crests, or insignia
is associated.
(g) Statements indicative of origin. No statement, design, device,
or representation which tends to create the impression that the wine
originated in a particular place or region, shall appear in any
advertisement unless the label of the advertised product bears an
appellation of origin, and such appellation of origin appears in the
advertisement in direct conjunction with the class and type designation.
(h) Use of the word ``importer'' or similar words. The word importer
or similar words shall not appear in advertisements of domestic wine
except as part of the bona fide name of the permittee by or for whom, or
of a retailer for whom, such wine is bottled, packed or distributed:
Provided, That in all cases where such words are used as part of such
name, there shall be stated the words ``Product of the United States''
or similar words to negate any impression that the product is imported,
and such negating statements shall appear in the same size and kind of
printing as such name.
(i) Curative and thereapeutic claims. Advertisements shall not
contain any statement, design, representation, pictorial representation,
or device representing that the use of wine has curative or therapeutic
effects if such statement is untrue in any particular or tends to create
a misleading impression.
(j) Confusion of brands. Two or more different brands or lots of
wine shall not be advertised in one advertisement (or in two or more
advertisements in one issue of a periodical or newspaper, or in one
piece of other written, printed, or graphic matter) if the advertisement
tends to create the impression that representations made as to one brand
or lot apply to the other or others, and if as to such latter the
representations contravene any provision of Secs. 4.60 through 4.64 or
are in any respect untrue.
(k) Deceptive advertising techniques. Subliminal or similar
techniques are prohibited. ``Subliminal or similar techniques,'' as used
in this part, refers to any device or technique that is used to convey,
or attempts to convey, a message to a person by means of images or
sounds of a very brief nature that cannot be perceived at a normal level
of awareness.
[T.D. 6521, 25 FR 13843, Dec. 29, 1960, as amended by T.D. 6976, 33 FR
15025, Oct. 8, 1968; T.D. ATF-53, 43 FR 37678, Aug. 23, 1978; T.D. ATF-
180, 49 FR 31672, Aug. 8, 1984]
Effective Date Note: By T.D. TTB-1, 68 FR 10103, Mar. 3, 2003,
Sec. 4.64 was amended by revising paragraph (i), effective June 2, 2003.
For the convenience of the user, the revised text is set forth as
follows:
Sec. 4.64 Prohibited practices.
* * * * *
(i) Health-related statements--(1) Definitions. When used in this
paragraph (i), terms are defined as follows:
(i) Health-related statement means any statement related to health
and includes
[[Page 42]]
statements of a curative or therapeutic nature that, expressly or by
implication, suggest a relationship between the consumption of alcohol,
wine, or any substance found within the wine, and health benefits or
effects on health. The term includes both specific health claims and
general references to alleged health benefits or effects on health
associated with the consumption of alcohol, wine, or any substance found
within the wine, as well as health-related directional statements. The
term also includes statements and claims that imply that a physical or
psychological sensation results from consuming the wine, as well as
statements and claims of nutritional value (e.g., statements of vitamin
content). Statements concerning caloric, carbohydrate, protein, and fat
content do not constitute nutritional claims about the product.
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
wine, alcohol, or any substance found within the wine, to a disease or
health-related condition. Implied specific health claims include
statements, symbols, vignettes, or other forms of communication that
suggest, within the context in which they are presented, that a
relationship exists between wine, alcohol, or any substance found within
the wine, and a disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of wine or
alcohol consumption.
(2) Rules for advertising--(i) Health-related statements. In
general, advertisements may not contain any health-related statement
that is untrue in any particular or tends to create a misleading
impression as to the effects on health of alcohol consumption. TTB will
evaluate such statements on a case-by-case basis and may require as part
of the health-related statement a disclaimer or some other qualifying
statement to dispel any misleading impression conveyed by the health-
related statement. Such disclaimer or other qualifying statement must
appear as prominent as the health-related statement.
(ii) Specific health claims. A specific health claim will not be
considered misleading if it is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health claim
and in a manner as prominent as the specific health claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of wine or alcohol consumption is
presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of wine or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, the following disclaimer: ``This statement should not
encourage you to drink or increase your alcohol consumption for health
reasons;'' or
(2) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, some other qualifying statement that the appropriate TTB
officer finds is sufficient to dispel any misleading impression conveyed
by the health-related directional statement.
* * * * *
Sec. 4.65 Comparative advertising.
(a) General. Comparative adverstising shall not be disparaging of a
competitor's product.
(b) Taste tests. (1) Taste test results may be used in
advertisements comparing competitors' products unless they are
disparaging, deceptive, or likely to mislead the consumer.
(2) The taste test procedure used shall meet scientifically accepted
procedures. An example of a scientifically accepted procedure is
outlined in the Manual on Sensory Testing Methods, ASTM Special
Technical Publication 434, published by the American Society for Testing
and Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103, ASTM,
1968, Library of Congress Catalog Card Number 68-15545.
(3) A statement shall appear in the advertisement providing the name
and address of the testing administrator.
[T.D. ATF-180, 49 FR 31673, Aug. 8, 1984]
Subpart H--Standards of Fill for Wine
Sec. 4.70 Application.
(a) Except as provided in paragraph (b) of this section, no person
engaged in
[[Page 43]]
business as a producer, rectifier, blender, importer, or wholesaler of
wine, directly or indirectly or through an affiliate, shall sell or ship
or deliver for sale or shipment, or otherwise introduce in interstate or
foreign commerce, or receive therein, or remove from customs custody,
any wine unless such wine is bottled or packed in the standard wine
containers herein prescribed.
(b) Sections 4.70 through 4.73 do not apply to:
(1) Sake;
(2) Wine packed in containers of 18 liters or more;
(3) Imported wine in the original containers in which entered
customs custody if the wine was bottled or packed before January 1,
1979; or
(4) Wine domestically bottled or packed, either in or out of customs
custody, before October 24, 1943, if the container, or the label on the
container, bears a conspicuous statement of the net contents, and if the
actual capacity of the container is not substantially less than the
apparent capacity upon visual examination under ordinary conditions of
purchase or use.
(c) Section 4.73 does not apply to wine domestically bottled or
packed, either in or out of customs custody, before January 1, 1979, if
the wine was bottled or packed according to the standards of fill
prescribed by Sec. 4.72.
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981]
Sec. 4.71 Standard wine containers.
(a) A standard wine container shall be made, formed and filled to
meet the following specifications:
(1) Design. It shall be so made and formed as not to mislead the
purchaser. Wine containers shall be held (irrespective of the
correctness of the net contents specified on the label) to be so made
and formed as to mislead the purchaser if the actual capacity is
substantially less than the apparent capacity upon visual examination
under ordinary conditions of purchase or use; and
(2) Fill. It shall be so filled as to contain the quantity of wine
specified in one of the standards of fill prescribed in Sec. 4.72 or
Sec. 4.73; and
(3) Headspace. It shall be made and filled as to have a headspace
not in excess of 6 percent of its total capacity after closure if the
net content of the container is 187 milliliters or more, and a headspace
not in excess of 10 percent of such capacity in the case of all other
containers.
[T.D. ATF-12, 39 FR 45222, Dec. 31, 1974]
Sec. 4.72 Standards of fill.
(a) The standards of fill for wine shall be the following, subject
to the tolerances hereinafter allowed:
(1) For all wines:
4.9 gallons. 1 pint.
3 gallons. \4/5\ pint.
1 gallon. \1/2\ pint.
\4/5\ gallon. \2/5\ pint.
\1/2\ gallon. 4 ounces.
\2/5\ gallon. 3 ounces.
1 quart. 2 ounces.
\4/5\ quart.
(2) In addition, for aperitif wines only: \15/16\ quart:
(b) The tolerances in fill shall be the same as are allowed by
Sec. 4.37 in respect to statement of net contents upon labels.
(c) This section does not apply after December 31, 1978.
[T.D. ATF-12, 39 FR 45223, Dec. 31, 1974, as amended by T.D. ATF-76, 46
FR 1727, Jan. 7, 1981]
Sec. 4.73 Metric standards of fill.
(a) Authorized standards of fill. The standards of fill for wine are
the following:
3 liters. 375 milliliters.
1.5 liters. 187 milliliters.
1 liter. 100 milliliters.
750 milliliters. 50 milliliters.
500 milliliters. ..................................
(b) Sizes larger than 3 liters. Wine may be bottled or packed in
containers of 4 liters or larger if the containers are filled and
labeled in quantities of even liters (4 liters, 5 liters, 6 liters,
etc.).
(c) Tolerances. The tolerances in fill are the same as are allowed
by Sec. 4.37 in respect to statement of net contents on labels.
[T.D. ATF-12, 39 FR 45223, Dec. 31, 1974, as amended by T.D. ATF-49, 43
FR 19848, May 9, 1978; T.D. ATF-76, 46 FR 1727, Jan. 7, 1981; T.D. ATF-
303, 55 FR 42713, Oct. 23, 1990]
[[Page 44]]
Subpart I--General Provisions
Sec. 4.80 Exports.
The regulations in this part shall not apply to wine exported in
bond.
Subpart J--American Grape Variety Names
Source: T.D. ATF-370, 61 FR 539, Jan. 8, 1996, unless otherwise
noted.
Sec. 4.91 List of approved prime names.
The following grape variety names have been approved by the Director
for use as type designations for American wines. When more than one name
may be used to identify a single variety of grape, the synonym is shown
in parentheses following the prime grape names. Grape variety names may
appear on labels of wine in upper or in lower case, and may be spelled
with or without the hyphens or diacritic marks indicated in the
following list.
Aglianico
Agwam
Albari[ntilde]o (Alvarinho)
Albemarle
Aleatico
Alicante Bouschet
Aligote
Alvarelhao
Alvarinho (Albari[ntilde]o)
Arneis
Aurore
Bacchus
Baco blanc
Baco noir
Barbera
Beacon
Beclan
Bellandais
Beta
Black Corinth
Black Pearl
Blanc Du Bois
Blue Eye
Bonarda
Bountiful
Burdin 4672
Burdin 5201
Burdin 11042
Burgaw
Burger
Cabernet franc
Cabernet Pfeffer
Cabernet Sauvignon
Calzin
Campbell Early (Island Belle)
Canada Muscat
Captivator
Carignane
Carlos
Carmenere
Carmine
Carnelian
Cascade
Castel 19-637
Catawba
Cayuga White
Centurion
Chambourcin
Chancellor
Charbono
Chardonel
Chardonnay
Chasselas dore
Chelois
Chenin blanc
Chief
Chowan
Cinsaut (Black Malvoisie)
Clairette blanche
Clinton
Colombard (French Colombard)
Colobel
Cortese
Corvina
Concord
Conquistador
Couderc noir
Counoise
Cowart
Creek
Cynthiana (Norton)
Dearing
De Chaunac
Delaware
Diamond
Dixie
Dolcetto
Doreen
Dornfelder
Dulcet
Durif
Dutchess
Early Burgundy
Early Muscat
Edelweiss
Eden
Ehrenfelser
Ellen Scott
Elvira
Emerald Riesling
Feher Szagos
Fernao Pires
Fern Munson
Fiano
Flame Tokay
Flora
Florental
Folle blanche
Fredonia
Freisa
Fry
Furmint
Gamay noir
Garronet
[[Page 45]]
Gewurztraminer
Gladwin 113
Glennel
Gold
Golden Isles
Golden Muscat
Grand Noir
Green Hungarian
Grenache
Grignolino
Grillo
Gros Verdot
Helena
Herbemont
Higgins
Horizon
Hunt
Iona
Isabella
Ives
James
Jewell
Joannes Seyve 12-428
Joannes Seyve 23-416
Kerner
Kay Gray
Kleinberger
LaCrosse
Lake Emerald
Lambrusco
Landal
Landot noir
Lenoir
Leon Millot
Limberger (Lemberger)
Madeline Angevine
Magnolia
Magoon
Malbec
Malvasia bianca
Marechal Foch
Marsanne
Melody
Melon de Bourgogne (Melon)
Merlot
Meunier (Pinot Meunier)
Mish
Mission
Missouri Riesling
Mondeuse (Refosco)
Montefiore
Moore Early
Morio-Muskat
Mourvedre (Mataro)
Muller-Thurgau
Munch
Muscadelle
Muscat blanc (Muscat Canelli)
Muscat du Moulin
Muscat Hamburg (Black Muscat)
Muscat of Alexandria
Muscat Ottonel
Naples
Nebbiolo
Negrette
New York Muscat
Niagara
Noah
Noble
Norton (Cynthiana)
Ontario
Orange Muscat
Palomino
Pamlico
Pedro Ximenes
Petit Verdot
Petite Sirah
Peverella
Pinotage
Pinot blanc
Pinot gris (Pinot Grigio)
Pinot noir
Precoce de Malingre
Pride
Primitivo
Rayon d'Or
Ravat 34
Ravat 51 (Vignoles)
Ravat noir
Redgate
Regale
Riesling (White Riesling)
Rkatziteli (Rkatsiteli)
Roanoke
Rosette
Roucaneuf
Rougeon
Roussanne
Royalty
Rubired
Ruby Cabernet
St. Croix
St. Laurent
Saint Macaire
Salem
Salvador
Sangiovese
Sauvignon blanc (Fume blanc)
Scarlet
Scheurebe
Semillon
Sereksiya
Seyval (Seyval blanc)
Siegerrebe
Siegfried
Southland
Souzao
Steuben
Stover
Sugargate
Sultanina (Thomspon Seedless)
Summit
Suwannee
Sylvaner
Symphony
Syrah (Shiraz)
Swenson Red
Tannat
Tarheel
Taylor
Tempranillo (Valdepenas)
Teroldego
Thomas
Thompson Seedless (Sultanina)
[[Page 46]]
Tinta Madeira
Tinto cao
Tocai Friulano
Topsail
Touriga
Traminer
Traminette
Trousseau
Trousseau gris
Ugni blanc (Trebbiano)
Valdiguie
Valerien
Van Buren
Veeblanc
Veltliner
Ventura
Verdelet
Verdelho
Vidal blanc
Villard blanc
Villard noir
Vincent
Viognier
Vivant
Welsch Rizling
Watergate
Welder
Yuga
Zinfandel
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-417, 64
FR 49388, Sept. 13, 1999; T.D. ATF-433, 65 FR 78096, Dec. 14, 2000; T.D.
ATF-466, 66 FR 49280, Sept. 27, 2001; T.D. ATF-475, 67 FR 11918, Mar.
18, 2002; T.D. ATF-481, 67 FR 56481, Sept. 4, 2002]
Sec. 4.92 Alternative names permitted for temporary use.
The following alternative names shown in the left column may be used
as the type designation for American wine in lieu of the prime name of
the grape variety shown in the right column. Alternative names listed in
the left column may only be used for wine bottled prior to the date
indicated.
(a) Wines bottled prior to January 1, 1997.
Alternative Name/Prime Name
Baco 1--Baco noir
Baco 22A--Baco blanc
Bastardo--Trousseau
Black Spanish--Lenoir
Burdin 7705--Florental
Cayuga--Cayuga White
Chancellor noir--Chancellor
Chasselas--Chasselas dore
Chevrier--Semillon
Chelois noir--Chelois
Couderc 71-20--Couderc noir
Couderc 299-35--Muscat du Moulin
Foch--Marechal Foch
Franken Riesling--Sylvaner
Gutedel--Chasselas dore
Ives Seedling--Ives
Jacquez--Lenoir
Joannes Seyve 26-205--Chambourcin
Landot 244--Landal
Landot 4511--Landot noir
Millot--Leon Millot
Moore's Diamond--Diamond
Norton Seedling--Norton
Pfeffer Cabernet--Cabernet Pfeffer
Pineau de la Loire--Chenin blanc
Pinot Chardonnay--Chardonnay
Ravat 262--Ravat noir
Rulander--Pinot gris
Seibel 128--Salvador
Seibel 1000--Rosette
Seibel 4986--Rayon d'Or
Seibel 5279--Aurore
Seibel 5898--Rougeon
Seibel 7053--Chancellor
Seibel 8357--Colobel
Seibel 9110--Verdelet
Seibel 9549--De Chaunac
Seibel 10878--Chelois
Seibel 13053--Cascade
Seibel 14596--Bellandais
Seyve-Villard 5-276--Seyval
Seyve-Villard 12-309--Roucaneuf
Seyve-Villard 12-375--Villard blanc
Seyve-Villard 18-283--Garronet
Seyve-Villard 18-315--Villard noir
Seyve-Villard 23-410--Valerien
Sweetwater--Chasselas dore
Verdelet blanc--Verdelet
Vidal 256--Vidal blanc
Virginia Seedling--Norton
Walschriesling--Welsch Rizling
Welschriesling--Welsch Rizling
(b) Wines bottled prior to January 1, 1999.
Alternative Name/Prime Name
Cabernet--Cabernet Sauvignon
Grey Riesling--Trousseau gris
Muscat Frontignan--Muscat blanc
Muscat Pantelleria--Muscat of Alexandria
Napa Gamay--Valdiquie
Pinot Saint George--Negrette
Sauvignon vert--Muscadelle
(c) Wines bottled prior to January 1, 2006.
Alternative Name/Prime Name
Johannisberg Riesling--Riesling
[T.D. ATF-370, 61 FR 539, Jan. 8, 1996, as amended by T.D. ATF-417, 64
FR 49388, Sept. 13, 1999]
Sec. 4.93 Approval of grape variety names.
(a) Any interested person may petition the Director for the approval
of a grape variety name. The petition may
[[Page 47]]
be in the form of a letter and should provide evidence of the following-
-
(1) Acceptance of the new grape variety,
(2) The validity of the name for identifying the grape variety,
(3) That the variety is used or will be used in winemaking, and
(4) That the variety is grown and used in the United States.
(b) For the approval of names of new grape varieties, documentation
submitted with the petition to establish the items in paragraph (a) of
this section may include--
(1) reference to the publication of the name of the variety in a
scientific or professional journal of horticulture or a published report
by a professional, scientific or winegrowers' organization,
(2) reference to a plant patent, if so patented, and
(3) information pertaining to the commercial potential of the
variety, such as the acreage planted and its location or market studies.
(c) The Director will not approve a grape variety name if:
(1) The name has previously been used for a different grape variety;
(2) The name contains a term or name found to be misleading under
Sec. 4.39; or
(3) The name of a new grape variety contains the term ``Riesling.''
(d) For new grape varieties developed in the United States, the
Director may determine if the use of names which contain words of
geographical significance, place names, or foreign words are misleading
under Sec. 4.39. The Director will not approve the use of a grape
variety name found to be misleading.
(e) The Director shall publish the list of approved grape variety
names at least annually in the Federal Register.
(Approved by the Office of Management and Budget under Control Number
1512-0513)
Subpart K--Use of the Term ``Organic''
Sec. 4.101 Use of the term ``organic.''
(a) Use of the term ``organic'' is optional and is treated as
``additional information on labels'' under Sec. 4.38(f).
(b) Any use of the term ``organic'' on a wine label or in
advertising of wine must comply with the United States Department of
Agriculture's (USDA) National Organic Program rules (7 CFR part 205) as
interpreted by the USDA.
(c) This section applies to labels and advertising that use the term
``organic'' on and after October 21, 2002.
[T.D. ATF-483, 67 FR 62858, Oct. 8, 2002]
PART 5--LABELING AND ADVERTISING OF DISTILLED SPIRITS--Table of Contents
Subpart A--Scope
Sec.
5.1 General.
5.2 Related regulations.
5.3 Forms prescribed.
5.4 Delegations of the Director.
Subpart B--Definitions
5.11 Meaning of terms.
Subpart C--Standards of Identity for Distilled Spirits
5.21 Application of standards.
5.22 The standards of identity.
5.23 Alteration of class and type.
Subpart Ca--Formulas
5.25 Application.
5.26 Formula requirements.
5.27 Formulas.
5.28 Adoption of predecessor's formulas.
Subpart D--Labeling Requirements for Distilled Spirits
5.31 General.
5.32 Mandatory label information.
5.33 Additional requirements.
5.34 Brand names.
5.35 Class and type.
5.36 Name and address.
5.37 Alcohol content.
5.38 Net contents.
5.39 Presence of neutral spirits and coloring, flavoring, and blending
materials.
5.40 Statements of age and percentage.
5.41 Bottle cartons, booklets and leaflets.
5.42 Prohibited practices.
Subpart E--Standards of Fill for Bottled Distilled Spirits
5.45 Application.
5.46 Standard liquor bottles.
5.47 Standards of fill (distilled spirits bottled before January 1,
1980).
[[Page 48]]
5.47a Metric standards of fill (distilled spirits bottled after
December 31, 1979).
Subpart F--Requirements for Withdrawal From Customs Custody of Bottled
Imported Distilled Spirits
5.51 Label approval and release.
5.52 Certificates of age and origin.
5.53 Certificate of nonstandard fill.
Subpart G--Requirements for Approval of Labels of Domestically Bottled
Distilled Spirits
5.55 Certificates of label approval.
5.56 Certificates of age and origin.
Subpart H--Advertising of Distilled Spirits
5.61 Application.
5.62 Definition.
5.63 Mandatory statements.
5.64 Legibility of mandatory information.
5.65 Prohibited practices.
5.66 Comparative advertising.
Subpart I--Use of the Term ``Organic.''
5.71 Use of the term ``organic.''
Authority: 26 U.S.C. 5301, 7805, 27 U.S.C. 205.
Source: T.D. 7020, 34 FR 20337, Dec. 30, 1969, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 5 appear by T.D. ATF-
425, 65 FR 11891, Mar. 7, 2000.
Subpart A--Scope
Sec. 5.1 General.
The regulations in this part relate to the labeling and advertising
of distilled spirits. This part applies to the several States of the
United States, the District of Columbia, and the Commonwealth of Puerto
Rico, but does not apply to distilled spirits for export.
Sec. 5.2 Related regulations.
The following regulations also relate to this part:
7 CFR Part 205--National Organic Program
27 CFR Part 1--Basic Permit Requirements Under the Federal Alcohol
Administration Act, Nonindustrial Use of Distilled Spirits and Wine,
Bulk Sales and Bottling of Distilled Spirits
27 CFR Part 4--Labeling and Advertising of Wine
27 CFR Part 7--Labeling and Advertising of Malt Beverages
27 CFR Part 13--Labeling Proceedings
27 CFR Part 16--Alcoholic Beverage Health Warning Statement
27 CFR Part 19--Distilled Spirits Plants
27 CFR Part 26--Liquors and Articles From Puerto Rico and the Virgin
Islands
27 CFR Part 27--Importation of Distilled Spirits, Wines, and Beer
27 CFR Part 71--Rules of Practice in Permit Proceedings
27 CFR Part 252--Exportation of Liquors
[T.D. ATF-483, 67 FR 62858, Oct. 8, 2002]
Sec. 5.3 Forms prescribed.
(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center, PO Box
5950, Springfield, Virginia 22153-5190, or by accessing the ATF web site
(http://www.atf.treas.gov/).
[T.D. ATF-92, 46 FR 46912, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5956, Feb. 27, 1987; T.D. 372, 61 FR 20723, May 8, 1996; T.D. ATF-
425, 65 FR 11891, Mar. 7, 2000]
Sec. 5.4 Delegations of the Director.
Most of the regulatory authorities of the Director contained in this
part 5 are delegated to appropriate ATF officers. These ATF officers are
specified in ATF Order 1130.2A, Delegation Order--Delegation of the
Director's Authorities in 27 CFR parts 4, 5 and 7, Labeling and
Advertising of Wine, Distilled Spirits and Malt Beverages. ATF
delegation orders, such as ATF Order 1130.2A, are available to any
interested person by mailing a request to the ATF Distribution Center,
PO Box 5950, Springfield, Virginia 22150-5190, or by accessing the ATF
web site (http://www.atf.treas.gov/).
[T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Subpart B--Definitions
Sec. 5.11 Meaning of terms.
When used in this part and in forms prescribed under this part,
where not
[[Page 49]]
otherwise distinctly expressed or manifestly incompatible with the
intent thereof, terms shall have the meaning ascribed in this section.
Any other term defined in the Federal Alcohol Administration Act and
used in this part shall have the same meaning assigned to it by such
Act.
Act. The Federal Alcohol Administration Act.
Advertisement. See Sec. 5.62 for meaning of term as used in subpart
H of this part.
Age. The period during which, after distillation and before
bottling, distilled spirits have been stored in oak containers. ``Age''
for bourbon whisky, rye whisky, wheat whisky, malt whisky, or rye malt
whisky, and straight whiskies other than straight corn whisky, means the
period the whisky has been stored in charred new oak containers.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions
relating to the administration or enforcement of this part by ATF Order
1130.2A, Delegation Order--Delegation of the Director's Authorities in
27 CFR part 4, 5 and 7, Labeling and Advertising of Wine, Distilled
Spirits and Malt Beverages.
Bottle. Any container, irrespective of the material from which made,
used for the sale of distilled spirits at retail.
Brand label. The principal display panel that is most likely to be
displayed, presented, shown, or examined under normal and customary
conditions of display for retail sale, and any other label appearing on
the same side of the bottle as the principal display panel. The
principal display panel appearing on a cylindrical surface is that 40
percent of the circumference which is most likely to be displayed,
presented, shown, or examined under normal and customary conditions of
display for retail sale.
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the
Department of the Treasury, Washington, DC.
Distilled spirits. Ethyl alcohol, hydrated oxide of ethyl, spirits
of wine, whisky, rum, brandy, gin, and other distilled spirits,
including all dilutions and mixtures thereof, for nonindustrial use. The
term ``distilled spirits'' shall not include mixtures containing wine,
bottled at 48 degrees of proof or less, if the mixture contains more
than 50 percent wine on a proof gallon basis.
Gallon. U.S. gallon of 231 cubic inches of alcoholic beverage at 60
deg.F.
In bulk. In containers having a capacity in excess of 1 wine gallon
(3.785 liters).
Interstate or foreign commerce. Commerce between any State and any
place outside thereof, or commerce within any Territory or the District
of Columbia, or between points within the same State but through any
place outside thereof.
Liter or litre. A metric unit of capacity equal to 1,000 cubic
centimeters of distilled spirits at l5.56 deg.C (60 deg.F.), and
equivalent to 33.814 U.S. fluid ounces. A liter is subdivided into 1,000
milliliters. milliliter or milliliters may be abbreviated as ``ml''.
Permittee. Any person holding a basic permit under the Federal
Alcohol Administration Act.
Person. Any individual, partnership, joint stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver, trustee, or liquidating agent and including an
officer or employee of any agency of a State or political subdivision
thereof; and the term ``trade buyer'' means any person who is a
wholesaler or retailer.
Produced at. As used in Secs. 5.22 and 5.52 in conjunction with
specific degrees of proof to describe the standards of identity, means
the composite proof of the spirits after completion of distillation and
before reduction in proof.
Proof gallon. A gallon of liquid at 60 deg.F. which contains 50
percent by volume of ethyl alcohol having a specific gravity of 0.7939
at 60 deg.F. referred to water at 60 deg.F. as unity, or the alcoholic
equivalent thereof.
Season. The period from January 1 through June 30, is the spring
season and the period from July 1 through December 31 is the fall
season.
United States. The several States and Territories and the District
of Columbia; the term ``State'' includes a Territory and the District of
Columbia; and
[[Page 50]]
the term ``Territory'' means the Commonwealth of Puerto Rico.
(26 U.S.C. 7805 (68 Stat. 917, as amended); 27 U.S.C. 205 (49 Stat. 981,
as amended))
[T.D. ATF-48, 43 FR 13533, Mar. 31, 1978; 44 FR 55839, Sept. 28, 1979,
as amended by T.D. ATF-62, 44 FR 71620, Dec. 11, 1979; T.D. ATF-66, 45
FR 40547, June 13, 1980; T.D. ATF-94, 46 FR 55096, Nov. 6, 1981; T.D.
ATF-198, 50 FR 8463, Mar. 1, 1985; T.D. ATF-230, 51 FR 21748, June 16,
1986; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Subpart C--Standards of Identity for Distilled Spirits
Sec. 5.21 Application of standards.
The standards of identity for the several classes and types of
distilled spirits set forth in this part shall be applicable only to
distilled spirits for beverage or other nonindustrial purposes.
Sec. 5.22 The standards of identity.
Standards of identity for the several classes and types of distilled
spirits set forth in this section shall be as follows (see also
Sec. 5.35, class and type):
(a) Class 1; neutral spirits or alcohol. ``Neutral spirits'' or
``alcohol'' are distilled spirits produced from any material at or above
190 deg. proof, and, if bottled, bottled at not less than 80 deg. proof.
(1) ``Vodka'' is neutral spirits so distilled, or so treated after
distillation with charcoal or other materials, as to be without
distinctive character, aroma, taste, or color.
(2) ``Grain spirits'' are neutral spirits distilled from a fermented
mash of grain and stored in oak containers.
(b) Class 2; whisky. ``Whisky'' is an alcoholic distillate from a
fermented mash of grain produced at less than 190 deg. proof in such
manner that the distillate possesses the taste, aroma, and
characteristics generally attributed to whisky, stored in oak containers
(except that corn whisky need not be so stored), and bottled at not less
than 80 deg. proof, and also includes mixtures of such distillates for
which no specific standards of identity are prescribed.
(1)(i) ``Bourbon whisky'', ``rye whisky'', ``wheat whisky'', ``malt
whisky'', or ``rye malt whisky'' is whisky produced at not exceeding
160 deg. proof from a fermented mash of not less than 51 percent corn,
rye, wheat, malted barley, or malted rye grain, respectively, and stored
at not more than 125 deg. proof in charred new oak containers; and also
includes mixtures of such whiskies of the same type.
(ii) ``Corn whisky'' is whisky produced at not exceeding 160 deg.
proof from a fermented mash of not less than 80 percent corn grain, and
if stored in oak containers stored at not more than 125 deg. proof in
used or uncharred new oak containers and not subjected in any manner to
treatment with charred wood; and also includes mixtures of such whisky.
(iii) Whiskies conforming to the standards prescribed in paragraphs
(b)(1)(i) and (ii) of this section, which have been stored in the type
of oak containers prescribed, for a period of 2 years or more shall be
further designated as ``straight''; for example, ``straight bourbon
whisky'', ``straight corn whisky'', and whisky conforming to the
standards prescribed in paragraph (b)(1)(i) of this section, except that
it was produced from a fermented mash of less than 51 percent of any one
type of grain, and stored for a period of 2 years or more in charred new
oak containers shall be designated merely as ``straight whisky''. No
other whiskies may be designated ``straight''. ``Straight whisky''
includes mixtures of straight whiskies of the same type produced in the
same State.
(2) ``Whisky distilled from bourbon (rye, wheat, malt, or rye malt)
mash'' is whisky produced in the United States at not exceeding 160 deg.
proof from a fermented mash of not less than 51 percent corn, rye,
wheat, malted barley, or malted rye grain, respectively, and stored in
used oak containers; and also includes mixtures of such whiskies of the
same type. Whisky conforming to the standard of identity for corn whisky
must be designated corn whisky.
(3) ``Light whisky'' is whisky produced in the United States at more
than 160 deg. proof, on or after January 26, 1968, and stored in used or
uncharred new oak containers; and also includes mixtures of such
whiskies. If ``light
[[Page 51]]
whisky'' is mixed with less than 20 percent of straight whisky on a
proof gallon basis, the mixture shall be designated ``blended light
whisky'' (light whisky--a blend).
(4) ``Blended whisky'' (whisky--a blend) is a mixture which contains
straight whisky or a blend of straight whiskies at not less than 20
percent on a proof gallon basis, excluding alcohol derived from added
harmless coloring, flavoring or blending materials, and, separately, or
in combination, whisky or neutral spirits. A blended whisky containing
not less than 51 percent on a proof gallon basis of one of the types of
straight whisky shall be further designated by that specific type of
straight whisky; for example, ``blended rye whisky'' (rye whisky--a
blend).
(5)(i) ``A blend of straight whiskies'' (blended straight whiskies)
is a mixture of straight whiskies which does not conform to the standard
of identify for ``straight whisky.'' Products so designated may contain
harmless coloring, flavoring, or blending materials as set forth in 27
CFR 5.23(a).
(ii) ``A blend of straight whiskies'' (blended straight whiskies)
consisting entirely of one of the types of straight whisky, and not
conforming to the standard for straight whisky, shall be further
designated by that specific type of straight whisky; for example, ``a
blend of straight rye whiskies'' (blended straight rye whiskies). ``A
blend of straight whiskies'' consisting entirely of one of the types of
straight whisky shall include straight whisky of the same type which was
produced in the same State or by the same proprietor within the same
State, provided that such whisky contains harmless coloring, flavoring,
or blending materials as stated in 27 CFR 5.23(a).
(iii) The harmless coloring, flavoring, or blending materials
allowed under this section shall not include neutral spirits or alcohol
in their original state. Neutral spirits or alcohol may only appear in a
``blend of straight whiskies'' or in a ``blend of straight whiskies
consisting entirely of one of the types of straight whisky'' as a
vehicle for recognized flavoring of blending material.
(6) ``Spirit whisky'' is a mixture of neutral spirits and not less
than 5 percent on a proof gallon basis of whisky, or straight whisky, or
straight whisky and whisky, if the straight whisky component is less
than 20 percent on a proof gallon basis.
(7) ``Scotch whisky'' is whisky which is a distinctive product of
Scotland, manufactured in Scotland in compliance with the laws of the
United Kingdom regulating the manufacture of Scotch whisky for
consumption in the United Kingdom: Provided, That if such product is a
mixture of whiskies, such mixture is ``blended Scotch whisky'' (Scotch
whisky--a blend).
(8) ``Irish whisky'' is whisky which is a distinctive product of
Ireland, manufactured either in the Republic of Ireland or in Northern
Ireland, in compliance with their laws regulating the manufacture of
Irish whisky for home consumption: Provided, That if such product is a
mixture of whiskies, such mixture is ``blended Irish whisky'' (Irish
whisky--a blend).
(9) ``Canadian whisky'' is whisky which is a distinctive product of
Canada, manufactured in Canada in compliance with the laws of Canada
regulating the manufacture of Canadian whisky for consumption in Canada:
Provided, That if such product is a mixture of whiskies, such mixture is
``blended Canadian whisky'' (Canadian whisky--a blend).
(c) Class 3; gin. ``Gin'' is a product obtained by original
distillation from mash, or by redistillation of distilled spirits, or by
mixing neutral spirits, with or over juniper berries and other
aromatics, or with or over extracts derived from infusions,
percolations, or maceration of such materials, and includes mixtures of
gin and neutral spirits. It shall derive its main characteristic flavor
from juniper berries and be bottled at not less than 80 deg. proof. Gin
produced exclusively by original distillation or by redistillation may
be further designated as ``distilled''. ``Dry gin'' (London dry gin),
``Geneva gin'' (Hollands gin), and ``Old Tom gin'' (Tom gin) are types
of gin known under such designations.
(d) Class 4; brandy. ``Brandy'' is an alcoholic distillate from the
fermented juice, mash, or wine of fruit, or from the residue thereof,
produced at less than 190 deg. proof in such manner that the
[[Page 52]]
distillate possesses the taste, aroma, and characteristics generally
attributed to the product, and bottled at not less than 80 deg. proof.
Brandy, or mixtures thereof, not conforming to any of the standards in
paragraphs (d) (1) through (8) of this section shall be designated as
``brandy'', and such designation shall be immediately followed by a
truthful and adequate statement of composition.
(1) ``Fruit brandy'' is brandy distilled solely from the fermented
juice or mash of whole, sound, ripe fruit, or from standard grape,
citrus, or other fruit wine, with or without the addition of not more
than 20 percent by weight of the pomace of such juice or wine, or 30
percent by volume of the lees of such wine, or both (calculated prior to
the addition of water to facilitate fermentation or distillation). Fruit
brandy shall include mixtures of such brandy with not more than 30
percent (calculated on a proof gallon basis) of lees brandy. Fruit
brandy, derived from grapes, shall be designated as ``grape brandy'' or
``brandy'', except that in the case of brandy (other than neutral
brandy, pomace brandy, marc brandy or grappa brandy) distilled from the
fermented juice, mash, or wine of grapes, or the residue thereof, which
has been stored in oak containers for less than 2 years, the statement
of class and type shall be immediately preceded, in the same size and
kind of type, by the word ``immature''. Fruit brandy, other than grape
brandy, derived from one variety of fruit, shall be designated by the
word ``brandy'' qualified by the name of such fruit (for example,
``peach brandy''), except that ``apple brandy'' may be designated
``applejack''. Fruit brandy derived from more than one variety of fruit
shall be designated as ``fruit brandy'' qualified by a truthful and
adequate statement of composition.
(2) ``Cognac'', or ``Cognac (grape) brandy'', is grape brandy
distilled in the Cognac region of France, which is entitled to be so
designated by the laws and regulations of the French Government.
(3) ``Dried fruit brandy'' is brandy that conforms to the standard
for fruit brandy except that it has been derived from sound, dried
fruit, or from the standard wine of such fruit. Brandy derived from
raisins, or from raisin wine, shall be designated as ``raisin brandy''.
Other brandies shall be designated in the same manner as fruit brandy
from the corresponding variety or varieties of fruit except that the
name of the fruit shall be qualified by the word ``dried''.
(4) ``Lees brandy'' is brandy distilled from the lees of standard
grape, citrus, or other fruit wine, and shall be designated as ``lees
brandy'', qualified by the name of the fruit from which such lees are
derived.
(5) ``Pomace brandy'', or ``marc brandy'', is brandy distilled from
the skin and pulp of sound, ripe grapes, citrus or other fruit, after
the withdrawal of the juice or wine therefrom, and shall be designated
as ``pomace brandy'', or ``marc brandy'', qualified by the name of the
fruit from which derived. Grape pomace brandy may be designated as
``grappa'' or ``grappa brandy''.
(6) ``Residue brandy'' is brandy distilled wholly or in part from
the fermented residue of fruit or wine, and shall be designated as
``residue brandy'' qualified by the name of the fruit from which
derived. Brandy distilled wholly or in part from residue materials which
conforms to any of the standards set forth in paragraphs (d) (1), (3),
(4), and (5) of this section may, regardless of such fact, be designated
``residue brandy'', but the use of such designation shall be conclusive,
precluding any later change of designation.
(7) ``Neutral brandy'' is brandy produced at more than 170 deg.
proof and shall be designated in accordance with the standards in this
paragraph, except that the designation shall be qualified by the word
``neutral''; for example, ``neutral citrus residue brandy''.
(8) ``Substandard brandy'' shall bear as a part of its designation
the word ``substandard'', and shall include:
(i) Any brandy distilled from fermented juice, mash, or wine having
a volatile acidity, calculated as acetic acid and exclusive of sulfur
dioxide, in excess of 0.20 gram per 100 cubic centimeters (20 deg.C.);
measurements of volatile acidity shall be calculated exclusive of water
added to facilitate distillation.
[[Page 53]]
(ii) Any brandy which has been distilled from unsound, moldy,
diseased, or decomposed juice, mash, wine, lees, pomace, or residue, or
which shows in the finished product any taste, aroma, or characteristic
associated with products distilled from such material.
(e) Class 5; blended applejack. ``Blended applejack'' (applejack--a
blend) is a mixture which contains at least 20 percent of apple brandy
(applejack) on a proof gallon basis, stored in oak containers for not
less than 2 years, and not more than 80 percent of neutral spirits on a
proof gallon basis if such mixture at the time of bottling is not less
than 80 deg. proof.
(f) Class 6; rum. ``Rum'' is an alcoholic distillate from the
fermented juice of sugar cane, sugar cane syrup, sugar cane molasses, or
other sugar cane by-products, produced at less than 190 deg. proof in
such manner that the distillate possesses the taste, aroma and
characteristics generally attributed to rum, and bottled at not less
than 80 deg. proof; and also includes mixtures solely of such
distillates.
(g) Class 7; Tequila. ``Tequila'' is an alcoholic distillate from a
fermented mash derived principally from the Agave Tequilana Weber
(``blue'' variety), with or without additional fermentable substances,
distilled in such a manner that the distillate possesses the taste,
aroma, and characteristics generally attributed to Tequila and bottled
at not less than 80 deg. proof, and also includes mixtures solely of
such distillates. Tequila is a distinctive product of Mexico,
manufactured in Mexico in compliance with the laws of Mexico regulating
the manufacture of Tequila for consumption in that country.
(h) Class 8; cordials and liqueurs. Cordials and liqueurs are
products obtained by mixing or redistilling distilled spirits with or
over fruits, flowers, plants, or pure juices therefrom, or other natural
flavoring materials, or with extracts derived from infusions,
percolation, or maceration of such materials, and containing sugar,
dextrose, or levulose, or a combination thereof, in an amount not less
than 2\1/2\ percent by weight of the finished product.
(1) ``Sloe gin'' is a cordial or liqueur with the main
characteristic flavor derived from sloe berries.
(2) ``Rye liqueur'', ``bourbon liqueur'' (rye, bourbon cordial) are
liqueurs, bottled at not less than 60 deg. proof, in which not less than
51 percent, on a proof gallon basis, of the distilled spirits used are,
respectively, rye or bourbon whisky, straight rye or straight bourbon
whisky, or whisky distilled from a rye or bourbon mash, and which
possess a predominant characteristic rye or bourbon flavor derived from
such whisky. Wine, if used, must be within the 2\1/2\ percent limitation
provided in Sec. 5.23 for coloring, flavoring, and blending materials.
(3) ``Rock and rye'', ``rock and bourbon'', ``rock and brandy'',
``rock and rum'' are liqueurs, bottled at not less than 48 deg. proof,
in which, in the case of rock and rye and rock and bourbon, not less
than 51 percent, on a proof gallon basis, of the distilled spirits used
are, respectively, rye or bourbon whisky, straight rye or straight
bourbon whisky, or whisky distilled from a rye or bourbon mash, and, in
the case of rock and brandy and rock and rum, the distilled spirits used
are all grape brandy or rum, respectively; containing rock candy or
sugar syrup, with or without the addition of fruit, fruit juices, or
other natural flavoring materials, and possessing, respectively, a
predominant characteristic rye, bourbon, brandy, or rum flavor derived
from the distilled spirits used. Wine, if used, must be within the 2\1/
2\ percent limitation provided in Sec. 5.23 for harmless coloring,
flavoring, and blending materials.
(4) ``Rum liqueur,'' ``gin liqueur,'' ``brandy liqueur,'' are
liqueurs, bottled at not less than 60 proof, in which the distilled
spirits used are entirely rum, gin, or brandy, respectively, and which
possess, respectively, a predominant characteristic rum, gin, or brandy
flavor derived from the distilled spirits used. In the case of brandy
liqueur, the type of brandy must be stated in accordance with
Sec. 5.22(d), except that liqueurs made entirely with grape brandy may
be designated simply as ``brandy liqueur.'' Wine, if used, must be
within the 2\1/2\ percent limitation provided for in Sec. 5.23 for
harmless coloring, flavoring, and blending materials.
[[Page 54]]
(5) The designation of a cordial or liqueur may include the word
``dry'' if the sugar, dextrose, or levulose, or a combination thereof,
are less than 10 percent by weight of the finished product.
(6) Cordials and liqueurs shall not be designated as ``distilled''
or ``compound''.
(i) Class 9; flavored brandy, flavored gin, flavored rum, flavored
vodka, and flavored whisky. ``Flavored brandy, ``flavored gin,''
``flavored rum,'' ``flavored vodka,'' and ``flavored whisky,'' are
brandy, gin, rum vodka, and whisky, respectively, to which have been
added natural flavoring materials, with or without the addition of
sugar, and bottled at not less than 60 deg. proof. The name of the
predominant flavor shall appear as a part of the designation. If the
finished product contains more than 2\1/2\ percent by volume of wine,
the kinds and precentages by volume of wine must be stated as a part of
the designation, except that a flavored brandy may contain an additional
12\1/2\ percent by volume of wine, without label disclosure, if the
additional wine is derived from the particular fruit corresponding to
the labeled flavor of the product.
(j) Class 10; imitations. Imitations shall bear, as a part of the
designation thereof, the word ``imitation'' and shall include the
following:
(1) Any class or type of distilled spirits to which has been added
coloring or flavoring material of such nature as to cause the resultant
product to simulate any other class or type of distilled spirits;
(2) Any class or type of distilled spirits (other than distilled
spirits required under Sec. 5.35 to bear a distinctive or fanciful name
and a truthful and adequate statement of composition) to which has been
added flavors considered to be artificial or imitation. In determining
whether a flavor is artificial or imitation, recognition will be given
to what is considered to be ``good commercial practice'' in the flavor
manufacturing industry;
(3) Any class of type of distilled spirits (except cordials,
liqueurs and specialties marketed under labels which do not indicate or
imply, that a particular class or type of distilled spirits was used in
the manufacture thereof) to which has been added any whisky essense,
brandy essence, rum essence, or similar essence or extract which
simulates or enhances, or is used by the trade or in the particular
product to simulate or enhance, the characteristics of any class or type
of distilled spirits;
(4) Any type of whisky to which beading oil has been added;
(5) Any rum to which neutral spirits or distilled spirits other than
rum have been added;
(6) Any brandy made from distilling material to which has been added
any amount of sugar other than the kind and amount of sugar expressly
authorized in the production of standard wine; and
(7) Any brandy to which neutral spirits or distilled spirits other
than brandy have been added, except that this provision shall not apply
to any product conforming to the standard of identity for blended
applejack.
(k) Class 11; geographical designations. (1) Geographical names for
distinctive types of distilled spirits (other than names found by the
appropriate ATF officer under paragraph (k)(2) of this section to have
become generic) shall not be applied to distilled spirits produced in
any other place than the particular region indicated by the name, unless
(i) in direct conjunction with the name there appears the word ``type''
or the word ``American'' or some other adjective indicating the true
place of production, in lettering substantially as conspicuous as such
name, and (ii) the distilled spirits to which the name is applied
conform to the distilled spirits of that particular region. The
following are examples of distinctive types of distilled spirits with
geographical names that have not become generic: Eau de Vie de Dantzig
(Danziger Goldwasser), Ojen, Swedish punch. Geographical names for
distinctive types of distilled spirits shall be used to designate only
distilled spirits conforming to the standard of identity, if any, for
such type specified in this section, or if no such standard is so
specified, then in accordance with the trade understanding of that
distinctive type.
[[Page 55]]
(2) Only such geographical names for distilled spirits as the
appropriate ATF officer finds have by usage and common knowledge lost
their geographical significance to such extent that they have become
generic shall be deemed to have become generic. Examples at London dry
gin, Geneva (Hollands) gin.
(3) Geographical names that are not names for distinctive types of
distilled spirits, and that have not become generic, shall not be
applied to distilled spirits produced in any other place than the
particular place or region indicated in the name. Examples are Cognac,
Armagnac, Greek brandy, Pisco brandy, Jamaica rum, Puerto Rico rum,
Demerara rum.
(4) The words ``Scotch'', ``Scots'' ``Highland'', or ``Highlands''
and similar words connoting, indicating, or commonly associated with
Scotland, shall not be used to designate any product not wholly produced
in Scotland.
(l) Class 12; products without geographical designations but
distinctive of a particular place. (1) The whiskies of the types
specified in paragraphs (b) (1), (4), (5), and (6) of this section are
distinctive products of the United States and if produced in a foreign
country shall be designated by the applicable designation prescribed in
such paragraphs, together with the words ``American type'' or the words
``produced (distilled, blended) in ----'', the blank to be filled in
with the name of the foreign country: Provided, That the word
``bourbon'' shall not be used to describe any whisky or whisky-based
distilled spirits not produced in the United States. If whisky of any of
these types is composed in part of whisky or whiskies produced in a
foreign country there shall be stated, on the brand label, the
percentage of such whisky and the country of origin thereof.
(2) The name for other distilled spirits which are distinctive
products of a particular place or country, an example is Habanero, shall
not be given to the product of any other place or country unless the
designation for such product includes the word ``type'' or an adjective
such as ``American'', or the like, clearly indicating the true place of
production. The provision for place of production shall not apply to
designations which by usage and common knowledge have lost their
geographical significance to such an extent that the appropriate ATF
officer finds they have become generic. Examples are Slivovitz,
Zubrovka, Aquavit, Arrack, and Kirschwasser.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-7, 38 FR
33471, Dec. 5, 1973; T.D. ATF-36, 41 FR 47426, Oct. 29, 1976; T.D. ATF-
37, 41 FR 48121, Nov. 2, 1976; T.D. ATF-48, 44 FR 55839, Sept. 28, 1979;
T.D. ATF-62, 44 FR 71620, Dec. 11, 1979; T.D. ATF-66, 45 FR 40547, June
13, 1980; T.D. ATF-94, 46 FR 55096, Nov. 6, 1981; T.D. ATF-259, 52 FR
41422, Oct. 28, 1987; T.D. ATF-324, 57 FR 29020, June 30, 1992]
Sec. 5.23 Alteration of class and type.
(a) Additions. (1) The addition of any coloring, flavoring, or
blending materials to any class and type of distilled spirits, except as
otherwise provided in this section, alters the class and type thereof
and the product shall be appropriately redesignated.
(2) There may be added to any class or type of distilled spirits,
without changing the class or type thereof, (i) such harmless coloring,
flavoring, or blending materials as are an essential component part of
the particular class or type of distilled spirits to which added, and
(ii) harmless coloring, flavoring, or blending materials such as
caramel, straight malt or straight rye malt whiskies, fruit juices,
sugar, infusion of oak chips when approved by the Director, or wine,
which are not an essential component part of the particular distilled
spirits to which added, but which are customarily employed therein in
accordance with established trade usage, if such coloring, flavoring, or
blending materials do not total more than 2\1/2\ percent by volume of
the finished product.
(3) ``Harmless coloring, flavoring, and blending materials'' shall
not include (i) any material which would render the product to which it
is added an imitation, or (ii) any material, other than caramel,
infusion of oak chips, and sugar, in the case of Cognac brandy; or (iii)
any material whatsoever in the case of neutral spirits or straight
whiskey, except that vodka may be treated with sugar in an amount not to
exceed
[[Page 56]]
2 grams per liter and a trace amount of citric acid.
(b) Extractions. The removal from any distilled spirits of any
constituents to such an extent that the product does not possess the
taste, aroma, and characteristics generally attributed to that class or
type of distilled spirits alters the class and type thereof, and the
product shall be appropriately redesignated. In addition, in the case of
straight whisky the removal of more than 15 percent of the fixed acids,
or volatile acids, or esters, or soluble solids, or higher alcohols, or
more than 25 percent of the soluble color, shall be deemed to alter the
class or type thereof.
(c) Exceptions. (1) This section shall not be construed as in any
manner modifying the standards of identity for cordials and liqueurs,
flavored brandy, flavored gin, flavored rum, flavored vodka, and
flavored whisky or as authorizing any product which is defined in
Sec. 5.22(j), Class 10, as an imitation to be otherwise designated.
(2) [Reserved]
[T.D. 7020, 34 FR 20337, Dec. 30. 1969, as amended by T.D. ATF-360, 59
FR 67222, 67223, Dec. 29, 1994; T.D. ATF-369, 61 FR 67327, Dec. 29,
1995]
Subpart Ca--Formulas
Source: T.D. ATF-62, 44 FR 71620, Dec. 11, 1979, unless otherwise
noted.
Sec. 5.25 Application.
The requirements of this subpart shall apply to:
(a) Proprietors of distilled spirits plants qualified as processors
under 27 CFR part 19;
(b) Persons in Puerto Rico who manufacture distilled spirits
products for shipment to the United States. Formulas need only be filed
for those products which will be shipped to the United States; and
(c) Persons who ship into the United States, Virgin Islands
distilled spirits products.
Sec. 5.26 Formula requirements.
(a) General. An approved formula is required to blend, mix, purify,
refine, compound, or treat spirits in a manner which results in a change
of character, composition, class or type of the spirits. Form 5110.38
(27-B Supplemental) shall be filed in accordance with the instructions
on the form and shall designate all ingredients and, if required, the
process used. Any approved formula on Form 27-B Supplemental or Form
5110.38 shall remain in effect until revoked, superseded, or voluntarily
surrendered. Any existing qualifying statements as to the rate of tax or
the limited use of drawback flavors appearing on a Form 27-B
Supplemental are obsolete.
(b) Change in formula. Any change in an approved formula shall
require the filing of a new Form 5110.38. After a change in a formula is
approved, the original formula shall be surrendered to the appropriate
ATF officer.
[T.D. ATF-62, 44 FR 71620, as amended by T.D. ATF-425, 65 FR 11891, Mar.
7, 2000]
Sec. 5.27 Formulas.
Formulas are required for distilled spirits operations which change
the character, composition, class or type of spirits as follows:
(a) The compounding of spirits through the mixing of any coloring,
flavoring, wine, or other material with distilled spirits;
(b) The manufacture of an intermediate product to be used
exclusively in other distilled spirits products on bonded premises;
(c) Any filtering or stabilizing process which results in a product
which does not possess the taste, aroma, and characteristics generally
attributed to that class or type of distilled spirits; and, in the case
of straight whisky, results in the removal of more than 15 percent of
the fixed acids, volatile acids, esters, soluble solids, or higher
alcohols, or more than 25 percent of the soluble color;
(d) The mingling of spirits (including merchandise returned to bond)
which differ in class or type of materials from which produced;
(e) The mingling of spirits stored in charred cooperage with spirits
stored in plain or reused cooperage, or the mixing of spirits that have
been treated with wood chips with spirits not so treated, or the mixing
of spirits that have been subjected to any treatment which changes their
character with
[[Page 57]]
spirits not so treated, unless it is determined that the composition of
the spirits is the same, notwithstanding the storage in different kinds
of cooperage or the treatment of a portion of the spirits;
(f) The use (except as authorized for production or storage
operations as provided by 27 CFR part 19) of any physical or chemical
process or any apparatus which accelerates the maturing of the spirits;
(g) The steeping or soaking of fruits, berries, aromatic herbs,
roots, seeds, etc., in spirits or wines;
(h) The artificial carbonating of spirits;
(i) The blending in Puerto Rico of spirits with any liquors
manufactured outside of Puerto Rico;
(j) The production of gin by--
(1) Redistillation over juniper berries and other natural aromatics,
or the extracted oils of such, of spirits distilled at or above 190
degrees of proof, free from impurities, including spirits of such a
nature recovered by redistillation of imperfect gin spirits; and
(2) Mixing gin with other spirits;
(k) The treatment of gin by--
(1) Addition or abstraction of any substance or material other than
pure water after redistillation in a manner that would change its class
and type designation; and
(2) Addition of any substance or material other than juniper berries
or other natural aromatics, or the extracted oils of such, or pure water
to the spirits, before or during redistillation, in a manner that would
change its class and type designation;
(l) The production of vodka by--
(1) Treatment of neutral spirits with not less than one ounce of
activated carbon per 100 wine gallons of spirits;
(2) Redistillation of pure spirits so as to be without distinctive
character, aroma, taste, or color;
(3) Mixing with other spirits or with any other substance or
material except pure water, after production; and
(m) The recovery of spirits by redistillation from distilled spirits
products containing other alcoholic ingredients and from spirits which
have previously been entered for deposit. However, no formula shall be
required for spirits redistilled into any type of neutral spirits other
than vodka or spirits redistilled at less than 190 degrees of proof
which lack the taste, aroma and other characteristics generally
attributed to whisky, brandy, rum, or gin, and are designated as
``Spirits,'' preceded or followed by a word or phrase descriptive of the
material from which produced. Such spirits redistilled on or after July
1, 1972, may not be designated ``Spirits Grain'' or ``Grain Spirits.''
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. ATF-198, 50 FR 8463, Mar. 1, 1985, as amended by T.D. ATF-259, 52
FR 41423, Oct. 28, 1987]
Sec. 5.28 Adoption of predecessor's formulas.
The adoption by a successor of approved Forms 5110.38 (27-B
Supplemental) shall be in the form of an application filed with the
appropriate ATF officer. The application shall list the formulas for
adoption by:
(a) Formula number,
(b) Name of product, and
(c) Date of approval.
The application shall clearly show that the predecessor has authorized
the use of his previously approved formulas by the successor.
Subpart D--Labeling Requirements for Distilled Spirits
Sec. 5.31 General.
(a) Application. No person engaged in business as a distiller,
rectifier, importer, wholesaler, or warehouseman and bottler, directly
or indirectly, or through an affiliate, shall sell or ship or deliver
for sale or shipment or otherwise introduce in interstate or foreign
commerce, or receive therein, or remove from customs custody, any
distilled spirits in bottles, unless such bottles are marked, branded,
labeled, or packaged, in conformity with Secs. 5.31 through 5.42.
(b) Alteration of labels. It shall be unlawful for any person to
alter, mutilate, destroy, obliterate, or remove any mark, brand, or
label on distilled spirits held for sale in interstate or foreign
commerce or after shipment therein, except:
[[Page 58]]
(1) As authorized by Federal law;
(2) When an additional labeling or relabeling of bottled distilled
spirits is accomplished with labels covered by certificates of label
approval which comply with the requirements of this part and with State
law;
(3) That there may be added to the bottle, after removal from
customs custody, or prior to or after removal from bonded premises,
without application for permission to relabel, a label identifying the
wholesale or retail distributor thereof or identifying the purchaser or
consumer, and containing no references whatever to the characteristics
of the product.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. 7020, 34 FR 20637, Dec. 30, 1969, as amended by T.D. ATF-62, 44 FR
71621, Dec. 11, 1979; T.D. ATF-198, 50 FR 8464, Mar. 1, 1985]
Sec. 5.32 Mandatory label information.
There shall be stated:
(a) On the brand label:
(1) Brand name.
(2) Class and type, in accordance with Sec. 5.35.
(3) Alcoholic content, in accordance with Sec. 5.37.
(4) In the case of distilled spirits packaged in containers for
which no standard of fill is prescribed in Sec. 5.47, net contents in
accordance with Sec. 5.38(b) or Sec. 5.38a(b)(2).
(b) On the brand label or on a back label:
(1) Name and address, in accordance with Sec. 5.36.
(2) In the case of imported spirits, the country of origin, in
accordance with Sec. 5.36.
(3) In the case of distilled spirits packaged in containers
conforming to the standards of fill prescribed in Sec. 5.47 or
Sec. 5.47a, net contents in accordance with Sec. 5.38(a), Sec. 5.38a(a),
or Sec. 5.38a(b)(1).
(4) Coloring or flavoring, in accordance with Sec. 5.39.
(5) A statement that the product contains FD&C Yellow No. 5, where
that coloring material is used in a product bottled on or after October
6, 1984.
(6) The following statement when saccharin is present in the
finished product: Use of this product may be hazardous to your health.
This product contains saccharin which has been determined to cause
cancer in laboratory animals.
(7) Declaration of sulfites. There shall be stated, the statement
``Contains sulfites'' or ``Contains (a) sulfiting agent(s)'' or a
statement identifying the specific sulfiting agent where sulfur dioxide
or a sulfiting agent is detected at a level of 10 or more parts per
million, measured as total sulfur dioxide. The sulfite declaration may
appear on a strip label or neck label in lieu of appearing on the front
or back label. The provisions of this paragraph shall apply to:
(i) Any certificate of label approval issued on or after January 9,
1987;
(ii) Any distilled spirits bottled on or after July 9, 1987,
regardless of the date of issuance of the certificate of label approval;
and,
(iii) Any distilled spirits removed on or after January 9, 1988.
(8) Percentage of neutral spirits and name of commodity from which
distilled, or in the case of continuously distilled neutral spirits or
gin, the name of the commodity only, in accordance with Sec. 5.39.
(9) A statement of age or age and percentage, when required, in
accordance with Sec. 5.40.
(10) State of distillation of domestic types of whisky and straight
whisky, except light whisky and blends, in accordance with Sec. 5.36.
(c) In the case of a container which has been excepted under the
provisions of Sec. 5.46(d), the information required to appear on the
``brand label,'' as defined, may appear elsewhere on such container if
it can be demonstrated that the container cannot reasonably be so
designed that the required brand label can be properly affixed.
(Paragraph (b)(7) approved by the Office of Management and Budget under
Control No. 1512-0469)
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-25, 41 FR
10220, Mar. 10, 1976; 41 FR 11022, Mar. 16, 1976; T.D. ATF-94, 46 FR
55096, Nov. 6, 1981; T.D. ATF-150, 48 FR 45556, Oct. 6, 1983; 48 FR
46518, Oct. 13, 1983; T.D. ATF-220, 50 FR 51852, Dec. 20, 1985; T.D.
ATF-236, 51 FR 34710, Sept. 30, 1986; T.D. ATF-282, 54 FR 7162, Feb. 16,
1989; T.D. ATF-312, 56 FR 31077, July 9, 1991; T.D. ATF-344, 58 FR
40354, July 28, 1993; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
[[Page 59]]
Sec. 5.33 Additional requirements.
(a) Contrasting background. Labels shall be so designed that the
statements required by this subpart are readily legible under ordinary
conditions, and such statements shall be on a contrasting background.
(b) Location of statements and size of type. (1) Statements required
by this subpart, except brand names, shall appear generally parallel to
the base on which the bottle rests as it is designed to be displayed or
shall be otherwise equally conspicuous.
(2) Statements required by this subpart, except brand names and the
declaration of sulfites in Sec. 5.32(b)(7), shall be separate and apart
from any other descriptive or explanatory matters.
(3) If not separate and apart from other descriptive or explanatory
matter printed on the label, the statement declaring the presence of
sulfites shall be of a size substantially more conspicuous than
surrounding nonmandatory labeling information.
(4) Statements of the type of distilled spirits shall be as
conspicuous as the statement of the class to which it refers, and in
direct conjunction therewith.
(5) Statements required by this subpart, except brand names, shall
be in script, type, or printing not smaller than 2 millimeters (or 8-
point gothic until January 1, 1983), except that, in the case of labels
on bottles of 200 milliliters or less capacity, such script, type, or
printing shall not be smaller than 1 millimeter (or 6-point gothic until
January 1, 1983).
(6) When net contents are stated either in metric measures or in
both metric and U.S. fluid measures, statements required by the subpart,
except brand names, shall be in script, type, or printing not smaller
than 2 millimeters (or 8-point gothic until January 1, 1983), except
that, in the case of labels on bottles of 200 milliliters or less
capacity such script, type, or printing shall not be smaller than 1
millimeter (or 6-point gothic until January 1, 1983).
(c) English language. The requirements of this subpart shall be
stated in the English language, except that the brand name need not be
in English, and for products bottled for consumption within Puerto Rico
the required information may be stated in the Spanish language if the
net contents and, if the product is an imitation, the word ``imitation''
are also stated in the English language.
(d) Location of label. Labels shall not obscure government stamps or
be obscured thereby. Labels shall not obscure any markings or
information required to be permanently marked in the bottle by other
U.S. Treasury Department regulations.
(e) Labels firmly affixed. Labels which are not an integral part of
the bottle shall be affixed to bottles in such manner that they cannot
be removed without thorough application of water or other solvents.
(f) Additional information on labels. Labels may contain information
other than the mandatory label information required by this subpart if
the information does not conflict with, or in any manner qualify,
statements required by this part.
(g) Contents of bottles. A complete and accurate statement of the
contents of the bottles to which labels are to be or have been affixed
shall be submitted, on request, to the appropriate ATF officer.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-66, 45 FR
40548, June 13, 1980; T.D. ATF-94, 46 FR 55096, Nov. 6, 1981; T.D. ATF-
236, 51 FR 34710, Sept. 30, 1986; T.D. ATF-425, 65 FR 11891, Mar. 7,
2000]
Sec. 5.34 Brand names.
(a) Misleading brand names. No label shall contain any brand name,
which, standing alone, or in association with other printed or graphic
matter, creates any impression or inference as to the age, origin,
identity, or other characteristics of the product unless the appropriate
ATF officer finds that such brand name (when appropriately qualified if
required) conveys no erroneous impressions as to the age, origin,
identity, or other characteristics of the product.
(b) Trade name of foreign origin. Paragraph (a) of this section does
not prohibit the use by any person of any trade name or brand of foreign
origin not effectively registered in the U.S. Patent Office on August
29, 1935, which has been used by such person or his
[[Page 60]]
predecessors in the United States for a period of at least 5 years
immediately preceding August 29, 1935: Provided, That if such trade name
or brand is used, the designation of the product shall be qualified by
the name of the locality in the United States in which produced, and
such qualification shall be in script, type, or printing as conspicuous
as the trade name or brand.
Sec. 5.35 Class and type.
(a) Designation of product. The class and type of distilled spirits
shall be stated in conformity with Sec. 5.22 if defined therein. In all
other instances the product shall be designated in accordance with trade
and consumer understanding thereof, or, if no such understanding exists,
by a distinctive or fanciful name, and in either case (except as
provided in paragraph (b)(2) of this section) followed by a truthful and
adequate statement of composition. The word ``cordial'' or ``liqueur''
need not be stated in the case of cordials and liqueurs unless the
appropriate ATF officer finds such word is necessary to clearly indicate
that the product is a cordial or liqueur.
(b) Products designed in accordance with trade and consumer
understanding. In the case of products designated in accordance with
trade and consumer understanding:
(1) A statement of the classes and types of distilled spirits used
in the manufacture thereof shall be deemed a sufficient statement of
composition in the case of highballs, cocktails, and similar prepared
specialties when the designation adequately indicates to the consumer
the general character of the product.
(2) No statement of composition is required if the designation
through general and established usage adequately indicates to the
consumer the composition of the product.
A product shall not bear a designation which indicates it contains a
class or type of distilled spirits unless the distilled spirits therein
conform to such class and type.
(c) Origin of whiskies in mixtures. In the case of any of the types
of whisky defined in Sec. 5.22(b), Class 2, which contains any whisky or
whiskies produced in a country other than that indicated by the type
designation, there shall be stated on the brand label the percentage of
such whisky and the country or origin thereof. In the case of mixtures
of whisky, not conforming to any type designation in Sec. 5.22(b), Class
2, the components of which were distilled in more than one country,
there shall be stated in direct conjunction with the class designation
``whisky'' a truthful and adequate statement of the composition of the
product.
(d) Whisky manufactured in Scotland, Ireland, or Canada. All whisky
manufactured in Scotland, Ireland, or Canada, shall be deemed to be
Scotch, Irish, or Canadian whisky, and shall be so designated, in
conformity with Sec. 5.22(b) (7), (8), and (9), unless the application
of such designation to the particular product will result in consumer
deception, or unless such a product is not entitled to such designation
under the laws of the country in which manufactured.
(e) Cordials and liqueurs. The alcoholic components of cordails and
liqueurs may, but need not, be stated on labels.
Sec. 5.36 Name and address.
(a) ``Bottled by''. (1) On labels of domestic distilled spirits
there shall be stated the phrase ``bottled by'', ``packed by'', or
``filled by'', immediately followed by the name (or trade name) of the
bottler and the place where such distilled spirits are bottled. If the
bottler is the actual bona fide operator of more than one distilled
spirits plant engaged in bottling operations, there may, in addition, be
stated immediately following the name (or trade name) of such bottler
the addresses of such other plants.
(2) Where distilled spirits are bottled by or for the distiller
thereof, there may be stated, in lieu of the phrase ``bottled by'',
``packed by'', or ``filled by'', followed by the bottler's name (or
trade name) and address, the phrase ``distilled by'', followed by the
name, or the trade name under which the particular spirits were
distilled, or (except in the case of distilled spirits labeled as
bottled in bond) any trade name shown on the distiller's permit
(covering the premises where the particular
[[Page 61]]
spirits were distilled), and the address (or addresses) of the
distiller.
(3) Where ``straight whiskies'' of the same type which have been
produced in the same State by two or more different distillers are
combined (either at time of bottling or at a warehouseman's bonded
premises for further storage) and subsequently bottled and labeled as
``straight whisky,'' such ``straight whisky'' shall be labeled in
accordance with the requirements of paragraph (a)(1) of this section.
Where such ``straight whisky'' is bottled by or for the distillers
thereof, there may be stated on the label, in lieu of the requirements
of paragraph (a)(1) of this section, the phraise ``distilled by,''
followed by the names (or trade names) of the different distillers who
distilled a portion of the ``straight whisky,'' the addresses of the
distilleries where the ``straight whisky'' was distilled, and the
percentage of ``straight whisky'' distilled by each distiller (with a
tolerance of plus or minus 2 percent). In the case where ``straight
whisky'' is made up of a mixture of ``straight whiskies'' of the same
type from two or more different distilleries of the same proprietor
located within the same State, and where the ``straight whisky'' is
bottled by or for the proprietor thereof, such ``straight whisky'' may
be labeled, in lieu of the requirements of paragraph (a)(1) of the this
section, with the phrase ``distilled by'' followed by the name (or trade
name) of the proprietor and the addresses of the different distilleries
which distilled a portion of the ``straight whisky.''
(4) Where distilled spirits are bottled by or for the rectifier
thereof, there may be stated, in lieu of the phrase ``bottled by'',
``packed by'', or ``filled by'', followed by the bottler's name (or
trade name) and address, the phrases ``blended by'', ``made by'',
``prepared by'', ``manufactured by'', or ``produced by'' (whichever may
be appropriate to the act of rectification involved) followed by the
name (or trade name), and the address (or addresses) of the rectifier.
(5) In addition to the requirements of paragraphs (a)(1) and (a)(2)
of this paragraph, the labels of bottled in bond spirits shall bear the
real name of the distillery or the trade name under which the distillery
produced and warehoused the spirits, the number of the plant in which
produced and the number of the plant in which bottled.
(6) The label may state the address of the proprietor's principal
place of business in lieu of the place where the bottling, distilling or
rectification operation occurred, if the address where the operation
occurred is indicated by printing, coding, or other markings, on the
label or on the bottle.
(b) ``Imported by''. (1) On labels of imported distilled spirits,
bottled prior to importation, there shall be stated the words ``imported
by'', ``imported exclusively by'', or a similar appropriate phrase, and
immediately thereafter the name of the importer, or exclusive agent, or
sole distributor, or other person responsible for the importation,
together with the principal place of business in the United States of
such person.
(2) On labels of imported distilled spirits bottled after
importation there shall be stated:
(i) The name of the bottler and place where bottled, immediately
preceded by the words ``bottled by'', ``packed by'', or ``filled by'';
or
(ii) The name of the bottler and place where bottled, immediately
preceded by the words ``bottled by'', ``packed by'', or ``filled by''
and in conjunction therewith the name and address of the person
responsible for the importation, in the manner prescribed in paragraph
(b)(1) of this section; or
(iii) The name and principal place of business in the United States
of the person responsible for the importation, if the spirits are
bottled for such person, immediately preceded by the phrase ``imported
by and bottled (packed), (filled) in the United States for'' (or a
similar appropriate phrase); or,
(iv) In the case of imported distilled spirits bottled after
importation by the person responsible for the importation, the words
``imported and bottled (packed), (filled) by'', ``imported and bottled
(packed), (filled) exclusively by'', or a similar appropriate phrase,
and immediately thereafter the name of such person and the address of
the place where bottled or the address of
[[Page 62]]
such person's principal place of business.
(c) Post office address. The ``place'' stated shall be the post
office address, except that the street address may be omitted. No
additional places or addresses shall be stated for the same person, firm
or corporation, unless (1) such person or retailer is actively engaged
in the conduct of an additional bona fide and actual alcoholic beverage
business at such additional place or address, and (2) the label also
contains in direct conjunction therewith, appropriate descriptive
material indicating the function occurring at such additional place or
address.
(d) State of distillation. Except in the case of ``light whisky'',
``blended light whisky'', ``blended whisky'', ``a blend of straight
whiskies'', or ``spirit whisky'', the State of distillation shall be
shown on the label of any whisky produced in the United States if the
whisky is not distilled in the State given in the address on the brand
label. The appropriate ATF officer may, however, require the State of
distillation to be shown on the label or he may permit such other
labeling as may be necessary to negate any misleading or deceptive
impression which might be created as to the actual State of
distillation. In the case of ``light whisky'', as defined in
Sec. 5.22(b)(3), the State of distillation shall not appear in any
manner on any label, when the appropriate ATF officer finds such State
is associated by consumers with an American type whisky, except as a
part of a name and address as set forth in paragraph (a) of this
section.
(e) Country of origin. On labels of imported distilled spirits there
shall be stated the country of origin in substantially the following
form ``Product of ------------'', the blank to be filled in with the
name of the country of origin.
(f) Trade names. The trade name of any permittee appearing on any
label must be identical to the trade name listed on the permittee's
basic permit.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. 7020, 34 FR 20637, Dec. 30, 1969, as amended by T.D. ATF-62, 44 FR
71621, Dec. 11, 1979; T.D. ATF-198, 50 FR 8464, Mar. 1, 1985; T.D. ATF-
259, 52 FR 41423, Oct. 28, 1987; T.D. ATF-260, 52 FR 42101, Nov. 3,
1987; T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Sec. 5.37 Alcohol content.
(a) Statements--(1) Mandatory statement. The alcohol content for
distilled spirits shall be stated in percent-alcohol-by-volume. Products
such as ``Rock and Rye. or similar products containing a significant
amount of solid material shall state the alcohol content at the time of
bottling as follows: ``Bottled at ------ percent-alcohol-by-volume.''
(2) Optional statement. In addition, the label may also state the
alcohol content in degrees of proof if this information appears in
direct conjunction (i.e. with no intervening material) with the
statement expressed in percent-alcohol-by-volume. If both forms of
alcohol content are shown, the optional statement in degrees of proof
shall be placed in parentheses, in brackets, or otherwise distinguished
from the mandatory statement in percent-alcohol-by-by-volume to
emphasize the fact that both expressions of alcohol content mean the
same thing.
(b) Tolerances. The following tolerances shall be allowed (without
affecting the labeled statement of alcohol content) for losses of
alcohol content occurring during bottling:
(1) Not to exceed 0.25 percent alcohol by volume for spirits
containing solids in excess of 600 mg per 100 ml; or
(2) Not to exceed 0.25 percent alcohol by volume for any spirits
product bottled in 50 or 100 ml size bottles; or
[[Page 63]]
(3) Not to exceed 0.15 percent alcohol by volume for all other
spirits.
(Approved by the Office of Management and Budget under Control Number
1512-0482)
(Sec. 201, Pub. L. 85-859, 72 Stat. 1394, as amended (26 U.S.C.
5301(a)); 49 Stat. 917, as amended (27 U.S.C. 205(e))
[T.D. ATF-237, 51 FR 36394, Oct. 10, 1986, as amended by T.D. ATF-288,
54 FR 47769, Nov. 17, 1989]
Sec. 5.38 Net contents.
(a) Bottles conforming to metric standards of fill. The net contents
of distilled spirits shall be stated in the same manner and form as set
forth in the standards of fill in Sec. 5.47a.
(b) Bottles not conforming to the metric standards of fill. The net
contents for distilled spirits bottled before January 1, 1980, in
bottles not conforming to the metric standards of fill, shall be stated
in the same manner and form as set forth in Sec. 5.47(a), except for
cordials and liqueurs, cocktails, highballs, bitters and specialties, as
specified by the Director. The net contents for these specialty products
shall be stated in U.S. measure (i.e., gallons, quarts, pints, fluid
ounces).
(c) Net contents marked in bottles. The net contents need not be
marked on any lable if they are legibly blown, etched, sandblasted,
marked by underglaze coloring, or otherwise permanently marked by any
method approved by the appropriate ATF officer on the side, front, or
back of the container in an unobscured location. containers of 200 ml or
greater capacity shall bear letters and figures of not less than one-
quarter inch height.
(d) Qualifying statements. Words or phrases qualifying statements of
net contents are prohibited.
(Sec. 5, 49 Stat. 981, as amended (27 U.S.C. 205); 26 U.S.C. 5301)
[T.D. ATF-146, 48 FR 43321, Sept. 23, 1983, as amended by T.D. ATF-249,
52 FR 5956, Feb. 27, 1987]
Sec. 5.39 Presence of neutral spirits and coloring, flavoring, and blending materials.
(a) Neutral spirits and name of commodity. (1) In the case of
distilled spirits (other than cordials, liqueurs, and specialties)
produced by blending or rectification, if neutral spirits have been used
in the production thereof, there shall be stated the percentage of
neutral spirits so used and the name of the commodity from which such
neutral spirits have been distilled. The statement of percentage and the
name of the commodity shall be made in substantially the following form:
``--------% neutral spirits distilled from -------------- (insert grain,
cane products, or fruit as appropriate)''; or ``--------% neutral
spirits (vodka) distilled from -------------- (insert grain, cane
products, or fruit, as appropriate)''; or ``--------% grain (cane
products), (fruit) neutral spirits'', or ``--------% grain spirits.''
(2) In the case of neutral spirits or of gin produced by a process
of continuous distillation, there shall be stated the name of the
commodity from which such neutral spirits or gin have been distilled.
The statement of the name of the commodity shall be made in
substantially the following form: ``Distilled from grain'', or
``Distilled from cane products'', or ``Distilled from fruit''.
(b) Coloring materials. The words ``artifically colored'' shall be
stated on the label of any distilled spirits containing synthetic or
natural materials which primarily contribute color, or when the label
conveys the impression that the color is derived from a source other
than the actual source, except that:
(1) If no coloring material other than natural flavoring material
has been added, there may be stated in lieu of the words ``artificially
colored'' a truthful and adequate statement of the source of the color;
(2) If no coloring material other than those certified as suitable
for use in foods by the Food and Drug Administration has been added,
there may be stated in lieu of the words ``artificially colored,'' the
words ``certified color added''; and
(3) If no coloring material other than caramel has been added, there
may be stated in lieu of the words ``artificially colored,'' the words
``colored with caramel,'' or a substantially similar statement, but no
such statement is required for the use of caramel in brandy,
[[Page 64]]
rum, or tequila, or in any type of whisky other than straight whisky.
(c) Treatment with wood. The words ``colored and flavored with wood
------ (insert chips, slabs, etc., as appropriate)'' shall be stated as
a part of the class and type designation for whisky and brandy treated,
in whole or in part, with wood through percolation, or otherwise, during
distillation or storage, other than through contact with the oak
container. Provided, that the above statement shall not apply to brandy
treated with an infusion of oak chip in accordance with Sec. 5.23(a).
[T.D. 720, 34 FR 20637, Dec. 30, 1969, as amended by T.D. ATF-94, 46 FR
55097, Nov. 6, 1981; T.D. ATF-292, 55 FR 1065, Jan. 11, 1990]
Sec. 5.40 Statements of age and percentage.
(a) Statements of age and percentage for whisky. In the case of
straight whisky bottled in conformity with the bottled in bond labeling
requirements and of domestic or foreign whisky, whether or not mixed or
blended, all of which is 4 years old or more, statements of age and
percentage are optional. As to all other whiskies there shall be stated
the following:
(1) In the case of whisky, whether or not mixed or blended but
containing no neutral spirits, the age of the youngest whisky. The age
statement shall read substantially as follows: ``------ years old.''
(2) In the case of whisky, containing neutral spirits, if any of the
straight whisky and/or other whisky is less than 4 years old, the
percentage by volume of straight whisky and/or other whisky, and the age
of the straight whisky (the youngest if two or more) and the age of such
other whisky (the youngest if two or more). If all the straight whisky
and/or other whisky is 4 years or more old, the age and percentage
statement for such whiskies is optional. The age and percentage
statement for straight whiskies and/or other whisky, whether required or
optional, shall be stated in immediate conjunction with the neutral
spirits statement required by Sec. 5.39, and shall read substantially as
follows:
(i) If only one straight whisky and no other whisky is contained in
the blend: ``---- percent straight whisky ---- years old.''
(ii) If more than one straight whisky and no other whisky is
contained in the blend: ``---- percent straight whiskies ---- years or
more old.'' The age blank shall be filled in with the age of the
youngest straight whisky. In lieu of the foregoing, a statement may be
made of the ages and percentages of each of the straight whiskies
contained in the blend: ``---- percent straight whisky ---- years old,
---- percent straight whisky ---- years old, and ---- percent straight
whisky ---- years old.''
(iii) If only one straight whisky and one other whisky is contained
in the blend: ``---- percent straight whisky ---- years old, ----
percent whisky ---- years old.''
(iv) If more than one straight whisky and more than one other whisky
is contained in the blend: ``---- percent straight whiskies ---- years
or more old, ---- percent whiskies ---- years or more old.'' The age
blanks shall be filled in with the ages of the youngest straight whisky
and the youngest other whisky. In lieu of the foregoing, a statement may
be made of the ages and percentages of each of the straight whiskies and
other whiskies contained in the blend: ``---- percent straight whisky --
-- years old, ---- percent straight whisky ---- years old, ---- percent
whisky ---- years old, and ---- percent whisky ---- years old.''
(3) In the case of imported whiskies described in Sec. 5.22(l),
Class 12, the labels shall state the ages and percentages in the same
manner and form as is required for the same type of whisky produced in
the United States.
(4) Notwithstanding the foregoing provisions of this paragraph, in
the case of whisky produced in the United States and stored in reused
oak containers, except for corn whisky, and for light whisky produced on
or after January 26, 1968, there shall be stated in lieu of the words
``---- years old'' the period of storage in reused oak containers as
follows: ``---- stored ---- years in reused cooperage.''
(5) Optional age statements shall appear in the same form as
required age statements.
[[Page 65]]
(b) Statements of age for rum, brandy, and Tequila. Age may, but
need not, be stated on labels of rums, brandies, and Tequila, except
that an appropriate statement with respect to age shall appear on the
brand label in case of brandy (other than immature brandies and fruit
brandies which are not customarily stored in oak containers) not stored
in oak containers for a period of at least 2 years. If age is stated, it
shall be substantially as follows: ``---- years old''; the blank to be
filled in with the age of the youngest distilled spirits in the product.
(c) Statement of storage for grain spirits. In case of grain
spirits, the period of storage in oak containers may be stated in
immediate conjunction with the required percentage statement; for
example, ``----% grain spirits stored ---- years in oak containers.''
(d) Other distilled spirits. Age, maturity, or similar statements or
representations as to neutral spirits (except for grain spirits as
stated in paragraph (c) of this section), gin, liqueurs, cordials,
cocktails, highballs, bitters, flavored brandy, flavored gin, flavored
rum, flavored vodka, flavored whisky, and specialties are misleading and
are prohibited from being stated on any label.
(e) Miscellaneous age representations. (1) Age may be understated
but shall not be overstated.
(2) If any age, maturity, or similar representation is made relative
to any distilled spirits (such representations for products enumerated
in paragraph (d) of this section are prohibited), the age shall also be
stated on all labels where such representation appears, and in a manner
substantially as conspicuous as such representation: Provided. That the
use of the word ``old'' or other word denoting age, as part of the brand
name, shall not be deemed to be an age representation: And provided
further, That the labels of whiskies and brandies (except immature
brandies) not required to bear a statement of age, and rum and Tequila
aged for not less than 4 years, may contain general inconspicuous age,
maturity or similar representations without the label bearing an age
statement.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. 7020, 34 FR 20637, Dec. 30, 1969, as amended by T.D. ATF-62, 44 FR
71621, Dec. 11, 1979; T.D. ATF-198, 50 FR 8464, Mar. 1, 1985]
Sec. 5.41 Bottle cartons, booklets and leaflets.
(a) General. An individual covering, carton, or other container of
the bottle used for sale at retail (other than a shipping container), or
any written, printed, graphic, or other matter accompanying the bottle
to the consumer buyer shall not contain any statement, design, device,
or graphic, pictorial, or emblematic representation that is prohibited
by Secs. 5.31 through 5.42 on labels.
(b) Sealed opaque cartons. If bottles are enclosed in sealed opaque
coverings, cartons, or other containers used for sale at retail (other
than shipping containers), such coverings, cartons, or other containers
must bear all mandatory label information.
(c) Other cartons. (1) If an individual covering, carton, or other
container of the bottle used for sale at retail (other than a shipping
container) is so designed that the bottle is readily removable, it may
display any information which is not in conflict with the label on the
bottle contained therein.
(2) Cartons displaying brand names and/or designations must display
such names and designations in their entirety--brand names required to
be modified, e.g. by ``Brand'' or ``Product of U.S.A.'', must also
display such modification.
(3) Specialty products for which a truthful and adequate statement
of composition is required must display such statement.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-36, 41 FR
47426, Oct. 29, 1976]
Sec. 5.42 Prohibited practices.
(a) Statements on labels. Bottles containing distilled spirits, or
any labels on such bottles, or any individual covering, carton, or other
container of
[[Page 66]]
such bottles used for sale at retail, or any written, printed, graphic,
or other matter accompanying such bottles to the consumer shall not
contain:
(1) Any statement that is false or untrue in any particular, or
that, irrespective of falsity, directly, or by ambiguity, omission, or
inference, or by the addition of irrelevant, scientific or technical
matter, tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's product.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards, or tests, irrespective of falsity, which the
appropriate ATF officer finds to be likely to mislead the consumer.
(5) Any statement, design, device, or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate ATF
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) A trade or brand name that is the name of any living individual
of public prominence, or existing private or public organization, or is
a name that is in simulation or is an abbreviation thereof, or any
graphic, pictorial, or emblematic representation of any such individual
or organization, if the use of such name or representation is likely to
falsely lead the consumer to believe that the product has been endorsed,
made, or used by, or produced for, or under the supervision of, or in
accordance with the specifications of, such individual or organization:
Provided, That this paragraph shall not apply to the use of the name of
any person engaged in business as a distiller, rectifier, blender, or
other producer, or as an importer, wholesaler, retailer, bottler, or
warehouseman, of distilled spirits, nor to the use by any person of a
trade or brand name that is the name of any living individual of public
prominence or existing private or public organization, provided such
trade or brand name was used by him or his predecessors in interest
prior to August 29, 1935.
(b) Miscellaneous. (1) Labels shall not be of such design as to
resemble or simulate a stamp of the U.S. Government or any State or
foreign government. Labels, other than stamps authorized or required by
this or any other government, shall not state or indicate that the
distilled spirits are distilled, blended, made, bottled, or sold under,
or in accordance with, any municipal, State, Federal, or foreign
authorization, law, or regulations, unless such statement is required or
specifically authorized by Federal, State, municipal, or foreign law or
regulations. The statements authorized by this part to appear on labels
for domestic distilled spirits are ``Distilled (produced, barreled,
warehoused, blended, or bottled, or any combination thereof, as the case
may be) under United States (U.S.) Government supervision'', or in the
case of distilled spirits labeled as bottled in bond, ``Bottled in bond
under United States (U.S.) Government supervision''. If the municipal,
State, or Federal Government permit number is stated on a label, it
shall not be accompanied by any additional statement relating thereto.
(2) If imported distilled spirits are covered by a certificate of
origin or of age issued by a duly authorized official of the appropriate
foreign government, the label, except where prohibited by the foreign
government, may refer to such certificate or the fact of such
certification, but shall not be accompanied by any additional statement
relating thereto. The reference to such certificate or certification
shall, in the case of Cognac, be substantially in the following form:
``This product accompanied at the time of importation by an `Acquit
Regional Jaune d'Or' issued by the French Government, indicating that
this grape brandy was distilled in the Cognac Region of France''; and in
the case of other distilled spirits, substantially in the following
form: ``This product accompanied at time of importation by a certificate
issued by the ---- government (name of government) indicating that the
product is ---- (class and type as required to be stated on the label),
and (if label claims age) that none of the distilled spirits are of an
age less than stated on this label.''
[[Page 67]]
(3) The words ``bond'', ``bonded'', ``bottled in bond'', ``aged in
bond'', or phrases containing these or synonymous terms, shall not be
used on any label or as part of the brand name of domestic distilled
spirits unless the distilled spirits are:
(i) Composed of the same kind of spirits produced from the same
class of materials;
(ii) Produced in the same distilling season by the same distiller at
the same distillery;
(iii) Stored for at least four years in wooden containers wherein
the spirits have been in contact with the wood surface except for gin
and vodka which must be stored for at least four years in wooden
containers coated or lined with paraffin or other substance which will
preclude contact of the spirits with the wood surface;
(iv) Unaltered from their original condition or character by the
addition or subtraction of any substance other than by filtration, chill
proofing, or other physical treatments (which do not involve the
addition of any substance which will remain incorporated in the finished
product or result in a change in class or type);
(v) Reduced in proof by the addition of pure water only to 100
degrees of proof; and
(vi) Bottles at 100 degrees of proof.
In addition to the requirements of Sec. 5.36(a) (1) or (2), the label
shall bear the real name of the distillery or the trade name under which
the distillery produced and warehoused the spirits, and the plant (or
registered distillery) number in which produced; and the plant number in
which bottled. The label may also bear the name or trade name of the
bottler.
(4) The words ``bond'', ``bonded'', ``bottled in bond'', ``aged in
bond'', or phrases containing these or synonymous terms, shall not be
used on any label or as part of the brand name of imported distilled
spirits unless the distilled spirits meet in all respects the
requirements applicable to distilled spirits bottled for domestic
consumption, so labeled, and unless the laws and regulations of the
country in which such distilled spirits are produced authorize the
bottling of distilled spirits in bond and require or specifically
authorize such distilled spirits to be so labeled. All spirits labeled
as ``bonded'', ``bottled in bond'', or ``aged in bond'' pursuant to the
provisions of this paragraph shall bear in direct conjunction with such
statement and in script, type, or printing substantially as conspicuous
as that used on such statement, the name of the country under whose laws
and regulations such distilled spirits were so bottled.
(5) The word ``pure'' shall not be stated upon labels unless:
(i) It refers to a particular ingredient used in the production of
the distilled spirits, and is a truthful representation about that
ingredient; or
(ii) It is part of the bona fide name of a permittee or retailer for
whom the distilled spirits are bottled; or
(iii) It is part of the bona fide name of the permittee who bottled
the distilled spirits.
(6) Distilled spirits shall not be labeled as ``double distilled''
or ''triple distilled'' or any similar term unless it is a truthful
statement of fact; except that ``double distilled'' or ``triple
distilled'' shall not be permitted on labels of distilled spirits
produced by the redistillation method when a second or third
distillation step is a necessary distillation process for the production
of the product.
(7) Labels shall not contain any statement, design, device, or
pictorial representation which the appropriate ATF officer finds relates
to, or is capable of being construed as relating to, the armed forces of
the United States, or the American flag, or any emblem, seal, insignia,
or decoration associated with such flag or armed forces; nor shall any
label contain any statement, design, device, or pictorial representation
of or concerning any flag, seal, coat of arms, crest or other insignia,
likely to mislead the consumer to believe that the product has been
endorsed, made, or used by, or produced for, or under the supervision
of, or in accordance with the specifications of the government,
organization, family, or individual with whom such flag, seal, coat of
arms, crest, or insignia is associated.
(8) Curative and therapeutic claims. Labels shall not contain any
statement, design, representation, pictorial
[[Page 68]]
representation, or device representing that the use of distilled spirits
has curative or therapeutic effects if such statement is untrue in any
particular or tends to create a misleading impression.
(26 U.S.C. 7805 (68A Stat. 917, as amended); 27 U.S.C. 205 (49 Stat.
981, as amended))
[T.D. 7020, 34 FR 20637, Dec. 30, 1969, as amended by T.D. ATF-62, 44 FR
71621, Dec. 11, 1979; T.D. ATF-180, 49 FR 31673, Aug. 8, 1984; 49 FR
35768. Sept. 12, 1984; T.D. ATF-198, 50 FR 8464, Mar. 1, 1985; 50 FR
23410, June 4, 1985]
Effective Date Note: By T.D. TTB-1, 68 FR 10104, Mar. 3, 2003,
Sec. 5.42 was amended by revising paragraph (b)(8), effective June 2,
2003. For the convenience of the user, the revised text is set forth as
follows:
Sec. 5.42 Prohibited practices.
* * * * *
(b) * * *
(8) Health-related statements--(i) Definitions. When used in this
paragraph (b)(8), terms are defined as follows:
(A) Health-related statement means any statement related to health
(other than the warning statement required by Sec. 16.21 of this
chapter) and includes statements of a curative or therapeutic nature
that, expressly or by implication, suggest a relationship between the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, and health benefits or effects on health. The
term includes both specific health claims and general references to
alleged health benefits or effects on health associated with the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, as well as health-related directional statements.
The term also includes statements and claims that imply that a physical
or psychological sensation results from consuming the distilled spirits,
as well as statements and claims of nutritional value (e.g., statements
of vitamin content). Statements concerning caloric, carbohydrate,
protein, and fat content do not constitute nutritional claims about the
product.
(B) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
distilled spirits, alcohol, or any substance found within the distilled
spirits, to a disease or health-related condition. Implied specific
health claims include statements, symbols, vignettes, or other forms of
communication that suggest, within the context in which they are
presented, that a relationship exists between distilled spirits,
alcohol, or any substance found within the distilled spirits, and a
disease or health-related condition.
(C) Health-related directional statement is a type of health-related
statement that directs or refers consumers to a third party or other
source for information regarding the effects on health of distilled
spirits or alcohol consumption.
(ii) Rules for labeling--(A) Health-related statements. In general,
labels may not contain any health-related statement that is untrue in
any particular or tends to create a misleading impression as to the
effects on health of alcohol consumption. TTB will evaluate such
statements on a case-by-case basis and may require as part of the
health-related statement a disclaimer or some other qualifying statement
to dispel any misleading impression conveyed by the health-related
statement.
(B) Specific health claims. (1) TTB will consult with the Food and
Drug Administration (FDA), as needed, on the use of a specific health
claim on a distilled spirits label. If FDA determines that the use of
such a labeling claim is a drug claim that is not in compliance with the
requirements of the Federal Food, Drug, and Cosmetic Act, TTB will not
approve the use of that specific health claim on a distilled spirits
label.
(2) TTB will approve the use of a specific health claim on a
distilled spirits label only if the claim is truthful and adequately
substantiated by scientific or medical evidence; sufficiently detailed
and qualified with respect to the categories of individuals to whom the
claim applies; adequately discloses the health risks associated with
both moderate and heavier levels of alcohol consumption; and outlines
the categories of individuals for whom any levels of alcohol consumption
may cause health risks. This information must appear as part of the
specific health claim.
(C) Health-related directional statements. A statement that directs
consumers to a third party or other source for information regarding the
effects on health of distilled spirits or alcohol consumption is
presumed misleading unless it--
(1) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of distilled spirits or alcohol consumption; and
(2)(i) Includes as part of the health-related directional statement
the following disclaimer: ``This statement should not encourage you to
drink or to increase your alcohol consumption for health reasons;'' or
(ii) Includes as part of the health-related directional statement
some other qualifying statement that the appropriate TTB officer finds
is sufficient to dispel any misleading
[[Page 69]]
impression conveyed by the health-related directional statement.
* * * * *
Subpart E--Standards of Fill for Bottled Distilled Spirits
Sec. 5.45 Application.
No person engaged in business as a distiller, rectifier, importer,
wholesaler, or warehouseman and bottler, directly or indirectly, or
through an affiliate, shall sell or ship or deliver for sale or
shipment, or otherwise introduce in interstate or foreign commerce, or
receive therein or remove from customs custody any distilled spirits in
bottles unless such distilled spirits are bottled and packed in
conformity with Secs. 5.46 through 5.47a.
(Sec. 5, 49 Stat. 981, as amended (27 U.S.C. 205); 26 U.S.C. 5301)
[T.D. ATF-25, 41 FR 10221, Mar. 10, 1976; T.D. ATF-146, 48 FR 43321,
Sept. 23, 1983]
Sec. 5.46 Standard liquor bottles.
(a) General. A standard liquor bottle shall be one so made and
formed, and so filled, as not to mislead the purchaser. An individual
carton or other container of a bottle shall not be so designed as to
mislead purchasers as to the size of the bottles.
(b) Headspace. A liquor bottle of a capacity of 200 milliliters or
more shall be held to be so filled as to mislead the purchaser if it has
a headspace in excess of 8 percent of the total capacity of the bottle
after closure.
(c) Design. A liquor bottle shall be held (irrespective of the
correctness of the stated net contents) to be so made and formed as to
mislead the purchaser, if its actual capacity is substantially less than
the capacity it appears to have upon visual examination under ordinary
conditions of purchase or use.
(d) Exceptions--(1) Distinctive liquor bottles. The headspace and
design requirements in paragraphs (b) and (c) of this section do not
apply to liquor bottles that are specifically exempted by the
appropriate ATF oficer, pursuant to an application filed by the bottler
or importer.
(2) Cross reference. For procedures regarding the issuance, denial
and revocation of distinctive liquor bottle approvals, as well as appeal
procedures, see part 13 of this chapter.
(Sec. 5, 49 Stat. 981, as amended (27 U.S.C. 205); 26 U.S.C. 5301)
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-25, 41 FR
10221, Mar. 10, 1976; 41 FR 11022, Mar. 16, 1976; T.D. ATF-62, 44 FR
71622, Dec. 11, 1979; T.D. ATF-146, 48 FR 43321, Sept. 23, 1983; T.D.
ATF-406, 64 FR 2129, Jan. 13, 1999]
Sec. 5.47 Standards of fill (distilled spirits bottled before January 1, 1980).
(a) Authorized standards of fill. The standards of fill for all
distilled spirits, whether domestically bottled, or imported, subject to
the tolerances allowed in this section, shall be as follows:
1 gallon. \4/5\ pint.
\1/2\ gallon. \1/2\ pint.
1 quart. \1/8\ pint.
\4/5\ quart. \1/10\ pint.
1 pint. \1/16\ pint (brandy only).
(b) Tolerances. The following tolerances shall be allowed:
(1) Discrepancies due to errors in measuring which occur in filling
conducted in compliance with good commercial practice.
(2) Discrepancies due to differences in the capacity of bottles,
resulting solely from unavoidable difficulties in manufacturing such
bottles to a uniform capacity: Provided, That no greater tolerance shall
be allowed in case of bottles which, because of their design, cannot be
made of approximately uniform capacity than is allowed in case of
bottles which can be manufactured so as to be of approximately uniform
capacity.
(3) Discrepancies in measure due to differences in atmospheric
conditions in various places and which unavoidably result from the
ordinary and customary exposure of alcoholic beverages in bottles to
evaporation. The reasonableness of discrepancies under this paragraph
shall be determined on the facts in each case.
(c) Unreasonable shortages. Unreasonable shortages in certain of the
bottles in any shipment shall not be compensated by overages in other
bottles in the same shipment.
[[Page 70]]
(d) Limitations. This section does not apply after December 31,
1979.
(Sec. 5, 49 Stat. 981, as amended (27 U.S.C. 205); 26 U.S.C. 5301)
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-25, 41 FR
10221, Mar. 10, 1976; T.D. ATF-146, 48 FR 43321, Sept. 23, 1983]
Sec. 5.47a Metric standards of fill (distilled spirits bottled after December 31, 1979).
(a) Authorized standards of fill. The standards of fill for
distilled spirits are the following:
(1) For containers other than cans described in paragraph (a)(2), of
this section--
1.75 liters
1.00 liter
750 milliliters
500 milliliters (Authorized for bottling until June 30, 1989)
375 milliliters
200 milliliters
100 milliliters
50 milliliters
(2) For metal containers which have the general shape and design of
a can, which have a closure which is an integral part of the container,
and which cannot be readily reclosed after opening--
355 milliliters
200 milliliters
100 milliliters
50 milliliters
(b) Tolerances. The following tolerances shall be allowed:
(1) Discrepancies due to errors in measuring which occur in filling
conducted in compliance with good commercial practice.
(2) Discrepancies due to differences in the capacity of bottles,
resulting solely from unavoidable difficulties in manufacturing such
bottles to a uniform capacity: Provided, That no greater tolerance shall
be allowed in case of bottles which, because of their design, cannot be
made of approximately uniform capacity than is allowed in case of
bottles which can be manufactured so as to be of approximately uniform
capacity.
(3) Discrepancies in measure due to differences in atmospheric
conditions in various places and which unavoidably result from the
ordinary and customary exposure of alcoholic beverages in bottles to
evaporation. The reasonableness of discrepancies under this paragraph
shall be determined on the facts in each case.
(c) Unreasonable shortages. Unreasonable shortages in certain of the
bottles in any shipment shall not be compensated by overages in other
bottles in the same shipment.
(d) Distilled spirits bottled before January 1, 1980. Distilled
spirits bottled domestically before January 1, 1980, may be marketed
after December 31, 1979, if such distilled spirits were bottled in
accordance with Sec. 5.47. (See Sec. 5.53 for similar provisions
relating to distilled spirits imported in original containers.)
(Sec. 5, 49 Stat. 981, as amended (27 U.S.C. 203); 26 U.S.C. 5301)
[T.D. ATF-25, 41 FR 10221, Mar. 10, 1976, as amended at 41 FR 11022,
Mar. 16, 1976; 41 FR 11497, Mar. 19, 1976; T.D. ATF-35, 41 FR 46859,
Oct. 26, 1976; T.D. ATF-62, 44 FR 71622, Dec. 11, 1979; T.D. ATF-146, 48
FR 43321, Sept. 23, 1983; T.D. ATF-228, 51 FR 16170, May 1, 1986; T.D.
ATF-326, 57 FR 31128, July 14, 1992]
Subpart F--Requirements for Withdrawal From Customs Custody of Bottled
Imported Distilled Spirits
Sec. 5.51 Label approval and release.
(a) Certificate of label approval. Bottled distilled spirits shall
not be released from Customs custody for consumption unless there is
deposited with the appropriate Customs officer at the port of entry the
original or a photostatic copy of an approved certificate of label
approval, ATF Form 5100.31.
(b) Release. If the original or photostatic copy of ATF Form 5100.31
has been approved, the brand or lot of distilled spirits bearing labels
identical with those shown thereon may be released from U.S. Customs
custody.
(c) Relabeling. Imported distilled spirits in U.S. Customs custody
which are not labeled in conformity with certificates of label approval
issued by the appropriate ATF officer must be relabeled prior to release
under the supervision of the Customs officers of the port at which the
spirits are located.
(d) Statements of process. ATF Forms 5100.31 covering labels for gin
bearing
[[Page 71]]
the word ``distilled'' as a part of the designation shall be accompanied
by a statement prepared by the manufacturer, setting forth a step-by-
step description of the manufacturing process.
(e) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval, as well as appeal
procedures, see part 13 of this chapter.
[T.D. ATF-66, 45 FR 40549, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55097, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-359, 59 FR 42160, Aug. 17, 1994; T.D. ATF-406, 64 FR 2129, Jan. 13,
1999]
Sec. 5.52 Certificates of age and origin.
(a) Scotch, Irish, and Canadian whiskies. Scotch, Irish, and
Canadian whiskies, imported in bottles, shall not be released from
customs custody for consumption unless the invoice is accompanied by a
certificate of origin issued by a duly authorized official of the
British, Irish, or Canadian Government, certifying (1) that the
particular distilled spirits are Scotch, Irish, or Canadian whisky, as
the case may be, (2) that the distilled spirits have been manufactured
in compliance with the laws of the respective foreign governments
regulating the manufacture of whisky for home consumption, and (3) that
the product conforms to the requirements of the Immature Spirits Act of
such foreign governments for spirits intended for home consumption. In
addition, a duly authorized official of the appropriate foreign
government must certify to the age of the youngest distilled spirits in
the bottle. The age certified shall be the period during which, after
distillation and before bottling, the distilled spirits have been stored
in oak containers.
(b) Brandy, Cognac, and rum. Brandy (other than fruit brandies of a
type not customarily stored in oak containers) or Cognac, imported in
bottles, shall not be released from customs custody for consumption
unless accompanied by a certificate issued by a duly authorized official
of the appropriate foreign country certifying that the age of the
youngest brandy or Cognac in the bottle is not less than 2 years, or if
age is stated on the label that none of the distilled spirits are of an
age less than that stated. If the label of any rum, imported in bottles,
contains any statement of age, the rum shall not be released from
customs custody for consumption unless accompanied by a certificate
issued by a duly authorized official of the appropriate foreign country,
certifying to the age of the youngest rum in the bottle. The age
certified shall be the period during which, after distillation and
before bottling, the distilled spirits have been stored in oak
containers. If the label of any fruit brandy, not stored in oak
containers, bears any statement of storage in other type containers, the
brandy must be accompanied by a certificate issued by a duly authorized
official of the appropriate foreign government certifying to such
storage. Cognac, imported in bottles, shall not be released from customs
custody for consumption unless the invoice is accompanied by a
certificate issued by a duly authorized official of the French
Government, certifying that the product is grape brandy distilled in the
Cognac region of France and entitled to be designated as ``Cognac'' by
the laws and regulations of the French Government.
(c) Tequila. (1) Tequila, imported in bottles, shall not be released
from customs custody for consumption unless a certificate of a duly
authorized official of the Mexican Government that the product is
entitled to be designated as Tequila under the applicable laws and
regulations of the Mexican Government is filed with the application for
release.
(2) If the label of any Tequila imported in bottles, contains any
statement of age, the Tequila shall not be released from customs custody
for consumption unless a certificate of a duly authorized official of
the Mexican Government as to the age of the youngest Tequila in the
bottle is filed with the application for release. The age certified
shall be the period during which the Tequila has been stored in oak
containers after distillation and before bottling.
(d) Other whiskies. Whisky, as defined in Sec. 5.22(b) (1), (4),
(5), and (6), imported in bottles, shall not be released from customs
custody for consumption unless accompanied by a certificate issued by a
duly authorized official of
[[Page 72]]
the appropriate foreign government certifying:
(1) In the case of whisky, whether or not mixed or blended but
containing no neutral spirits, (i) the class and type thereof, (ii) the
American proof at which produced, (iii) that no neutral spirits (or
other whisky in the case of straight whisky) has been added as a part
thereof or included therein, whether or not for the purpose of replacing
outage, (iv) the age of the whisky, and (v) the type of oak container in
which such age was acquired (whether new or reused; also whether charred
or uncharred);
(2) In the case of whisky containing neutral spirits, (i) the class
and type thereof, (ii) the percentage of straight whisky, if any, used
in the blend, (iii) the American proof at which the straight whisky was
produced, (iv) the percentage of other whisky, if any, in the blend, (v)
the percentage of neutral spirits in the blend, and the name of the
commodity from which distilled, (vi) the age of the straight whisky and
the age of the other whisky in the blend, and (vii) the type of oak
containers in which such age or ages were acquired (whether new or
reused; also whether charred or uncharred).
(e) Miscellaneous. Distilled spirits (other than Scotch, Irish, and
Canadian whiskies, and Cognac) in bottles shall not be released from
customs custody for consumption unless the invoice is accompanied by a
certificate of origin issued by a duly authorized official of the
appropriate foreign government, if the issuance of such certificates
with respect to such distilled spirits has been authorized by the
foreign government concerned, certifying as to the identity of the
distilled spirits and that the distilled spirits have been manufactured
in compliance with the laws of the respective foreign government
regulating the manufacture of such distilled spirits for home
consumption.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-7, 38 FR
33471, Dec. 5, 1973]
Sec. 5.53 Certificate of nonstandard fill.
(a) Distilled spirits imported in original containers not conforming
to the metric standards of fill prescribed in Sec. 5.47a shall not be
released from Customs custody after December 31, 1979:
(1) Unless the distilled spirits are accompanied by a statement
signed by a duly authorized official of the appropriate foreign country,
stating that the distilled spirits were bottled or packed prior to
January 1, 1980; or
(2) Unless the distilled spirits are being withdrawn from a Customs
bonded warehouse or foreign trade zone into which entered on or before
December 31, 1979.
(b) Distilled spirits imported in 500 ml containers shall not be
released from Customs custody after June 30, 1989:
(1) Unless the distilled spirits are accompanied by a certificate
issued by the government of the appropriate foreign country, stating
that the distilled spirits were bottled or packed prior to July 1, 1989;
or
(2) Unless the distilled spirits are being withdrawn from a Customs
bonded warehouse or foreign trade zone into which entered on or before
June 30, 1989.
[T.D. ATF-25, 41 FR 10222, Mar. 10, 1976, as amended by T.D. ATF-228, 51
FR 16170, May 1, 1986]
Subpart G--Requirements for Approval of Labels of Domestically Bottled
Distilled Spirits
Sec. 5.55 Certificates of label approval.
(a) Requirement. Distilled spirits shall not be bottled or removed
from a plant, except as provided in paragraph (b) of this section,
unless the proprietor possesses a certificate of label approval, ATF
Form 5100.31, covering the labels on the bottle, issued by the
appropriate ATF officer pursuant to application on such form.
Application for certificates of label approval covering labels for
imported gin bearing the word ``distilled'' as a part of the designation
shall be accompanied by a statement prepared by the manufacturer setting
forth a step-by-step description of the manufacturing process.
(b) Exemption. Any bottler of distilled spirits shall be exempt from
the requirements in paragraph (a) of this section and Sec. 5.56 if the
bottler possesses a
[[Page 73]]
certificate of exemption from label approval, ATF Form 5100.31, issued
by the appropriate ATF officer pursuant to application on that Form
showing that the distilled spirits to be bottled are not to be sold,
offered for sale, or shipped or delivered for shipment, or otherwise
introduced into interstate or foreign commerce.
(c) Miscellaneous. Photoprints or other reproductions of
certificates of label approval, or certificates of exemption are not
acceptable as substitutes for an original or duplicate original (issued,
on request, by the appropriate ATF officer) of a certificate. The
original or duplicate original of such certificates shall, on demand, be
exhibited to an authorized officer of the U.S. Government.
(d) Cross reference. For procedures regarding the issuance, denial,
and revocation of certificates of label approval and certificates of
exemption from label approval, as well as appeal procedures, see part 13
of this chapter.
[T.D. ATF-66, 45 FR 40550, June 13, 1980, as amended by T.D. ATF-94, 46
FR 55097, Nov. 6, 1981; T.D. ATF-242, 51 FR 39525, Oct. 29, 1986; T.D.
ATF-406, 64 FR 2129, Jan. 13, 1999]
Sec. 5.56 Certificates of age and origin.
Distilled spirits imported in bulk for bottling in the United States
shall not be removed from the plant where bottled unless the bottler
possesses certificates of age and certificates of origin applicable to
such spirits which are similar to the certificates required by Sec. 5.52
for like distilled spirits imported in bottles.
Subpart H--Advertising of Distilled Spirits
Sec. 5.61 Application.
No person engaged in business as a distiller, rectifier, importer,
wholesaler, or warehouseman and bottler of distilled spirits, directly
or indirectly or through an affiliate, shall publish or disseminate or
cause to be published or disseminated by radio or television broadcast,
or in any newspaper, periodical, or any publication, by any sign or
outdoor advertisement, or any other printed or graphic matter, any
advertisement of distilled spirits, if such advertising is in, or is
calculated to induce sales in, interstate or foreign commerce, or is
disseminated by mail, unless such advertisement is in conformity with
Secs. 5.61 through 5.66 of this part. Provided, that such sections shall
not apply to outdoor advertising in place on (effective date of this
treasury decision), but shall apply upon replacement, restoration, or
renovation of any such advertising; and provided further, that such
sections shall not apply to a retailer or the publisher of any
newspaper, periodical, or other publication, or radio or television
broadcast, unless such retailer or publisher or radio or television
broadcaster is engaged in business as a distiller, rectifier, importer,
wholesaler, or warehouseman and bottler of distilled spirits, directly
or indirectly, or through an affiliate.
[T.D. ATF-180, 49 FR 31673, Aug. 8, 1984]
Sec. 5.62 Definition.
As used in Secs. 5.61 through 5.66 of this part, the term
``advertisement'' includes any written or verbal statement,
illlustration, or depiction which is in, or calculated to induce sales
in, interstate or foreign commerce, or is disseminated by mail, whether
it appears in a newspaper, magazine, trade booklet, menu, wine card,
leaflet, circular, mailer, book insert, catalog, promotional material,
sales pamphlet, or in any written, printed, graphic, or other matter
accompanying the bottle, representations made on cases or in any
billboard, sign, other outdoor display, public transit card, other
periodical literature, publication, or in a radio or television
broadcast, or in any other media; except that such term shall not
include:
(a) Any label affixed to any bottle of distilled spirits; or any
individual covering, carton, or other container of the bottle which
constitute a part of the labeling under Secs. 5.31 through 5.42 of this
part.
(b) Any editorial or other reading material (i.e., news release) in
any periodical or publication or newspaper for the publication of which
no money or valuable consideration is paid or promised, directly or
indirectly, by any permittee, and which is not written by or at the
direction of the permittee.
[T.D. ATF-180, 49 FR 31673, Aug. 8, 1984]
[[Page 74]]
Sec. 5.63 Mandatory statements.
(a) Responsible advertiser. The advertisement shall state the name
and address of the permittee responsible for its publication or
broadcast. Street number and name may be omitted in the address.
(b) Class and type. The advertisement shall contain a conspicuous
statement of the class to which the product belongs and the type thereof
corresponding with the statement of class and type which is required to
appear on the label of the product.
(c) Alcohol content--(1) Mandatory statement. The alcohol content
for distilled spirits shall be stated in percent-alcohol-by-volume.
Products such as ``Rock and Rye'' or similar products containing a
significant amount of solid material shall state the alcohol content at
the time of bottling as follows: ``Bottled at ------ percent-alcohol-by-
volume.''
(2) Optional statement. In addition, the advertisement may also
state the alcohol content in degrees of proof if this information
appears in direct conjunction (i.e. with no intervening material) with
the statement expressed in percent-alcohol-by-volume. If both forms of
alcohol content are shown, the optional statement in degrees of proof
shall be placed in parentheses, in brackets, or otherwise distinguished
from the mandatory statement in percent-alcohol-by-volume to emphasize
the fact that both expressions of alcohol content mean the same thing.
(d) Percentage of neutral spirits and name of commodity. (1) In the
case of distilled spirits (other than cordials, liqueurs, and
specialties) produced by blending or rectification, if neutral spirits
have been used in the production thereof, there shall be stated the
percentage of neutral spirits so used and the name of the commodity from
which such neutral spirits have been distilled. The statement of
percentage and the name of the commodity shall be made in substantially
the following form: ``----% neutral spirits distilled from --------
(insert grain, cane products, or fruit, as appropriate)''; or ----%
neutral spirits (vodka) distilled from -------- (insert grain, cane
product, or fruit, as appropriate)''; or ``----% grain (cane products),
(fruit) neutral spirits''; or ``----% grain spirits''.
(2) In the case of neutral spirits or of gin produced by a process
of continuous distillation, there shall be stated the name of the
commodity from which such neutral spirits or gin has been distilled. The
statement of the name of the commodity shall be made in substantially
the following form: ``Distilled from grain'', or ``Distilled from cane
products'', or ``Distilled from fruit.''
(e) Exception. (1) If an advertisement refers to a general distilled
spirits line or all of the distilled spirits products of one company,
whether by the company name or by the brand name common to all the
distilled spirits in the line, the only mandatory information necessary
is the name and address of the responsible advertiser. This exception
does not apply where only one type of distilled spirits is marketed
under the specific brand name advertised.
(2) On consumer specialty items, the only information necessary is
the company name or brand name of the product.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-180, 49
FR 31674, Aug. 8, 1984; T.D. ATF-237, 51 FR 36394, Oct. 10, 1986]
Sec. 5.64 Legibility of mandatory information.
(a) Statements required under Secs. 5.61 through 5.66 of this part
to appear in any written, printed, or graphic advertisement shall be in
lettering or type size sufficient to be conspicuous and readily legible.
(b) In the case of signs, billboards, and displays the name and
address of the permittee responsible for the advertisement may appear in
type size of lettering smaller than the other mandatory information,
provided such information can be ascertained upon closer examination of
the sign or billboard.
(c) Mandatory information shall be so stated as to be clearly a part
of the advertisement and shall not be separated in any manner from the
remainder of the advertisement.
(d) Manadatory information for two or more products shall not be
stated unless clearly separated.
[[Page 75]]
(e) Mandatory information shall be so stated in both the print and
audio-visual media that it will be readily apparent to the persons
viewing the advertisement.
[T.D. ATF-180, 49 FR 31674, Aug. 8, 1984]
Sec. 5.65 Prohibited practices.
(a) Restrictions. An advertisement of distilled spirits shall not
contain:
(1) Any statement that is false or untrue in any material
particular, or that, irrespective of falsity, directly, or by ambiguity,
omission, or inference, or by the addition of irrelevant, scientific or
technical matter tends to create a misleading impression.
(2) Any statement that is disparaging of a competitor's product.
(3) Any statement, design, device, or representation which is
obscene or indecent.
(4) Any statement, design, device, or representation of or relating
to analyses, standards or tests, irrespective of falsity, which the
appropriate ATF officer finds to be likely to mislead the consumer.
(5) Any statement, design, device, or representation of or relating
to any guarantee, irrespective of falsity, which the appropriate ATF
officer finds to be likely to mislead the consumer. Money-back
guarantees are not prohibited.
(6) Any statement that the distilled spirits are distilled, blended,
made, bottled, or sold under or in accordance with any municipal, State,
Federal, or foreign authorization, law, or regulation, unless such
statement appears in the manner authorized by Sec. 5.42 for labels of
distilled spirits. If a municipal, State or Federal permit number is
stated, such permit number shall not be accompanied by any additional
statement relating thereto.
(7) The words ``bond'', ``bonded'', ``bottled in bond'', ``aged in
bond'', or phrases containing these or synonymous terms, unless such
words or phrases appear, pursuant to Sec. 5.42, on labels of the
distilled spirits advertised, and are stated in the advertisement in the
manner and form in which they are permitted to appear on the label.
(8) The word ``pure'' unless:
(i) It refers to a particular ingredient used in the production of
the distilled spirits, and is a truthful representation about the
ingredient; or
(ii) It is part of the bona fide name of a permittee or retailer
from whom the distilled spirits are bottled; or
(iii) It is part of the bona fide name of the permittee who bottled
the distilled spirits.
(9) The words ``double distilled'' or ``triple distilled'' or any
similar terms unless it is a truthful statement of fact; except that
``double distilled'' or ``triple distilled'' shall not be permitted in
advertisements of distilled spirits produced by the redistillation
method when a second or third distillation step is a necessary
distillation process for the production of the product.
(b) Statements inconsistent with labeling. (1) Advertisements shall
not contain any statement concerning a brand or lot of distilled spirits
that is inconsistent with any statement on the labeling thereof.
(2) Any label depicted on a bottle in an advertisement shall be a
reproduction of an approved label.
(c) Statement of age. The advertisement shall not contain any
statement, design, or device directly or by implication concerning age
or maturity of any brand or lot of distilled spirits unless a statement
of age appears on the label of the advertised product. When any such
statement, design, or device concerning age or maturity is contained in
any advertisement, it shall include (in direct conjunction therewith and
with substantially equal conspicuousness) all parts of the statement, if
any, concerning age and percentages required to be made on the label
under the provisions of Secs. 5.31 through 5.42. An advertisement for
any whisky or brandy (except immature brandies) which is not required to
bear a statement of age on the label or an advertisement for any rum or
Tequila, which has been aged for not less than 4 years may, however,
contain inconspicuous, general representation as to age, maturity or
other similar representations even though a specific age statement does
not appear on the label of the advertised product and in the
advertisement itself.
[[Page 76]]
(d) Curative and therapeutic claims. Advertisements shall not
contain any statement, design, representation, pictorial representation,
or device representing that the use of distilled spirits has curative or
therapeutic effects if such statement is untrue in any particular or
tends to create a misleading impression.
(e) Place of origin. The advertisement shall not represent that the
distilled spirits were manufactured in or imported from a place or
country other than that of their actual origin, or were produced or
processed by one who was not in fact the actual producer or processor.
(f) Confusion of brands. Two or more different brands or lots of
distilled spirits shall not be advertised in one advertisement (or in
two or more advertisements in one issue of a periodical or newspaper, or
in one piece of other written, printed, or graphic matter) if the
advertisement tends to create the impression that representations made
as to one brand or lot apply to the other or others, and if as to such
latter the representations contravene any provisions of this subpart or
are in any respect untrue.
(g) Flags, seals, coats of arms, crests, and other insignia. An
advertisement shall not contain any statement, design, device, or
pictorial representation which the appropriate ATF officer finds relates
to, or is capable of being construed as relating to the armed forces of
the United States, or the American flag, or any emblem, seal, insignia,
or decoration associated with such flag or armed forces; nor shall any
advertisement contain any statement, design, device, or pictorial
representation of or concerning any flag, seal, coat of arms, crest, or
other insignia, likely to mislead the consumer to believe that the
product has been endorsed, made, or used by, or produced for, or under
the supervision of, or in accordance with the specifications of the
government, organization, family, or individual with whom such flag,
seal, coat of arms, crest, or insignia is associated.
(h) Deceptive advertising techniques. Subliminal or similar
techniques are prohibited. ``Subliminal or similar techniques,'' as used
in this part, refers to any device or technique that is used to convey,
or attempts to convey, a message to a person by means of images or
sounds of a very brief nature that cannot be perceived at a normal level
of awareness.
[T.D. 7020, 34 FR 20337, Dec. 30, 1969, as amended by T.D. ATF-180, 49
FR 31674, Aug. 8, 1984]
Effective Date Note: By T.D. TTB-1, 68 FR 10105, Mar. 3, 2003,
Sec. 5.65 was amended by revising paragraph (d), effective June 2, 2003.
For the convenience of the user, the revised text is set forth as
follows:
Sec. 5.65 Prohibited practices.
* * * * *
(d) Health-related statements--(1) Definitions. When used in this
paragraph (d), terms are defined as follows:
(i) Health-related statement means any statement related to health
and includes statements of a curative or therapeutic nature that,
expressly or by implication, suggest a relationship between the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, and health benefits or effects on health. The
term includes both specific health claims and general references to
alleged health benefits or effects on health associated with the
consumption of alcohol, distilled spirits, or any substance found within
the distilled spirits, as well as health-related directional statements.
The term also includes statements and claims that imply that a physical
or psychological sensation results from consuming the distilled spirits,
as well as statements and claims of nutritional value (e.g., statements
of vitamin content). Statements concerning caloric, carbohydrate,
protein, and fat content do not constitute nutritional claims about the
product.
(ii) Specific health claim is a type of health-related statement
that, expressly or by implication, characterizes the relationship of the
distilled spirits, alcohol, or any substance found within the distilled
spirits, to a disease or health-related condition. Implied specific
health claims include statements, symbols, vignettes, or other forms of
communication that suggest, within the context in which they are
presented, that a relationship exists between distilled spirits,
alcohol, or any substance found within the distilled spirits, and a
disease or health-related condition.
(iii) Health-related directional statement is a type of health-
related statement that directs or refers consumers to a third party or
other source for information regarding the effects on health of
distilled spirits or alcohol consumption.
[[Page 77]]
(2) Rules for advertising--(i) Health-related statements. In
general, advertisements may not contain any health-related statement
that is untrue in any particular or tends to create a misleading
impression as to the effects on health of alcohol consumption. TTB will
evaluate such statements on a case-by-case basis and may require as part
of the health-related statement a disclaimer or some other qualifying
statement to dispel any misleading impression conveyed by the health-
related statement. Such disclaimer or other qualifying statement must
appear as prominent as the health-related statement.
(ii) Specific health claims. A specific health claim will not be
considered misleading if it is truthful and adequately substantiated by
scientific or medical evidence; sufficiently detailed and qualified with
respect to the categories of individuals to whom the claim applies;
adequately discloses the health risks associated with both moderate and
heavier levels of alcohol consumption; and outlines the categories of
individuals for whom any levels of alcohol consumption may cause health
risks. This information must appear as part of the specific health claim
and in a manner as prominent as the specific health claim.
(iii) Health-related directional statements. A statement that
directs consumers to a third party or other source for information
regarding the effects on health of distilled spirits or alcohol
consumption is presumed misleading unless it--
(A) Directs consumers in a neutral or other non-misleading manner to
a third party or other source for balanced information regarding the
effects on health of distilled spirits or alcohol consumption; and
(B)(1) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, the following disclaimer: ``This statement should not
encourage you to drink or increase your alcohol consumption for health
reasons;'' or
(2) Includes as part of the health-related directional statement,
and in a manner as prominent as the health-related directional
statement, some other qualifying statement that the appropriate TTB
officer finds is sufficient to dispel any misleading impression conveyed
by the health-related directional statement.
* * * * *
Sec. 5.66 Comparative advertising.
(a) General. Comparative advertising shall not be disparaging of a
competitor's product.
(b) Taste tests. (1) Taste test results may be used in
advertisements comparing competitors' products unless they are
disparaging, deceptive, or likely to mislead the consumer.
(2) The taste test procedure used shall meet scientifically accepted
procedures. An example of a scientifically accepted procedure is
outlined in the Manual on Sensory Testing Methods, ASTM Special
Technical Publication 434, published by the American Society for Testing
and Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103, ASTM,
1968, Library of Congress Catalog Card Number 68-15545.
(3) A statement shall appear in the advertisement providing the name
and address of the testing administrator.
[T.D. ATF-180, 49 FR 31674, Aug. 8, 1984]
Subpart I--Use of the Term ``Organic.''
Sec. 5.71 Use of the term ``organic.''
(a) Use of the term ``organic'' is optional and is treated as
``additional information on labels'' under Sec. 5.33(f).
(b) Any use of the term ``organic'' on a distilled spirits label or
in advertising of distilled spirits must comply with the United States
Department of Agriculture's (USDA) National Organic Program rules, 7 CFR
part 205, as interpreted by the USDA.
(c) This section applies to labels and advertising that use the term
``organic'' on and after October 21, 2002.
[T.D. ATF-483, 67 FR 62858, Oct. 8, 2002]
PART 6--``TIED-HOUSE''--Table of Contents
Subpart A--Scope of Regulations
Sec.
6.1 General.
6.2 Territorial extent.
6.3 Application.
6.4 Jurisdictional limits.
6.5 Delegations of the Director.
6.6 Administrative provisions.
Subpart B--Definitions
6.11 Meaning of terms.
Subpart C--Unlawful Inducements
General
6.21 Application.
Interest in Retail License
6.25 General.
[[Page 78]]
6.26 Indirect interest.
6.27 Proprietary interest.
Interest in Retail Property
6.31 General.
6.32 Indirect interest.
6.33 Proprietary interest.
6.34 Mortgages.
6.35 Renting display space.
Furnishing Things of Value
6.41 General.
6.42 Indirect inducement through third party arrangements.
6.43 Sale of equipment.
6.44 Free warehousing.
6.45 Assistance in acquiring license.
6.46-6.47 [Reserved]
Paying for Advertising, Display or Distribution Service
6.51 General.
6.52 Cooperative advertising.
6.53 Advertising in ballparks, racetracks, and stadiums.
6.54 Advertising in retailer publications.
6.55 Display service.
6.56 Renting display space.
Guaranteeing Loans
6.61 Guaranteeing loans.
Extension of Credit
6.65 General.
6.66 Calculation of period.
6.67 Sales to retailer whose account is in arrears.
Quota Sales
6.71 Quota sales.
6.72 ``Tie-in'' sales.
Subpart D--Exceptions
6.81 General.
6.82 [Reserved]
6.83 Product displays.
6.84 Point of sale advertising materials and consumer advertising
specialties.
6.85 Temporary retailers.
6.86-6.87 [Reserved]
6.88 Equipment and supplies.
6.89-6.90 [Reserved]
6.91 Samples.
6.92 Newspaper cuts.
6.93 Combination packaging.
6.94 Educational seminars.
6.95 Consumer tasting or sampling at retail establishments.
6.96 Consumer promotions.
6.97 [Reserved]
6.98 Advertising service.
6.99 Stocking, rotation, and pricing service.
6.100 Participation in retailer association activities.
6.101 Merchandise.
6.102 Outside signs.
Subpart E--Exclusion
6.151 Exclusion, in general.
6.152 Practices which put retailer independence at risk.
6.153 Criteria for determining retailer independence.
Authority: 15 U.S.C. 49-50; 27 U.S.C. 202 and 205; 44 U.S.C.
3504(h).
Source: T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, unless otherwise
noted.
Subpart A--Scope of Regulations
Sec. 6.1 General.
The regulations in this part, issued pursuant to section 105 of the
Federal Alcohol Administration Act (27 U.S.C. 205), specify practices
that are means to induce under section 105(b) of the Act, criteria for
determining whether a practice is a violation of section 105(b) of the
Act, and exceptions to section 105(b) of the Act. This part does not
attempt to enumerate all of the practices that may result in a violation
of section 105(b) of the Act. Nothing in this part shall operate to
exempt any person from the requirements of any State law or regulation.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
Sec. 6.2 Territorial extent.
This part applies to the several States of the United States, the
District of Columbia, and Puerto Rico.
Sec. 6.3 Application.
(a) General. This part applies only to transactions between industry
members and retailers. It does not apply to transactions between two
industry members (for example, between a producer and a wholesaler), or
to transactions between an industry member and a retailer wholly owned
by that industry member.
(b) Transaction involving State agencies. The regulations in this
part apply only to transactions between industry members and State
agencies operating as retailers as defined in this part. The regulations
do not apply to State agencies with regard to their wholesale dealings
with retailers.
[[Page 79]]
Sec. 6.4 Jurisdictional limits.
(a) General. The regulations in this part apply where:
(1) The industry member induces a retailer to purchase distilled
spirits, wine, or malt beverages from such industry member to the
exclusion in whole or in part of products sold or offered for sale by
other persons in interstate or foreign commerce; and
(2) If: (i) The inducement is made in the course of interstate or
foreign commerce; or
(ii) The industry member engages in the practice of using an
inducement to such an extent as substantially to restrain or prevent
transactions in interstate or foreign commerce in any such products; or
(iii) The direct effect of the inducement is to prevent, deter,
hinder or restrict other persons from selling or offering for sale any
such products to such retailer in interstate or foreign commerce.
(b) Malt beverages. In the case of malt beverages, this part applies
to transactions between a retailer in any State and a brewer, importer,
or wholesaler of malt beverages inside or outside such State only to the
extent that the law of such State imposes requirements similar to the
requirements of section 105(b) of the Federal Alcohol Administration Act
(27 U.S.C. 205(b)), with respect to similar transactions between a
retailer in such State and a brewer, importer, or wholesaler or malt
beverage in such State, as the case may be.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20421, Apr. 26, 1995]
Sec. 6.5 Delegations of the Director.
Most of the regulatory authorities of the Director contained in this
part 6 are delegated to appropriate ATF officers. These ATF officers are
specified in ATF Order 1130.7, Delegation Order--Delegation of the
Director's Authorities in 27 CFR Parts 6, 8, 10 and 11. ATF delegation
orders, such as ATF Order 1130.7, are available to any interested person
by mailing a request to the ATF Distribution Center, P.O. Box 5950,
Springfield, Virginia 22150-5190, or by accessing the ATF web site
(http://www.atf.treas.gov/).
[T.D. ATF-428, 65 FR 52019, Aug. 28, 2000]
Sec. 6.6 Administrative provisions.
(a) General. The Act makes applicable the provisions including
penalties of sections 49 and 50 of Title 15, United States Code, to the
jurisdiction, powers and duties of the Director under this Act, and to
any person (whether or not a corporation) subject to the provisions of
law administered by the Director under this Act. The Act also provides
that the Director is authorized to require, in such manner and such form
as he or she shall prescribe, such reports as are necessary to carry out
the powers and duties under this chapter.
(b) Examination and subpoena. Any appropriate ATF officer shall at
all reasonable times have access to, for the purpose of examination, and
the right to copy any documentary evidence of any person, partnership,
or corporation being investigated or proceeded against. An appropriate
ATF officer shall also have the power to require by subpoena the
attendance and testimony of witnesses and the production of all such
documentary evidence relating to any matter under investigation, upon a
satisfactory showing the requested evidence may reasonably be expected
to yield information relevant to any matter being investigated under the
Act.
(c) Reports required by the appropriate ATF officer--(1) General.
The appropriate ATF officer may, as part of a trade practice
investigation of an industry member, require such industry member to
submit a written report containing information on sponsorships,
advertisements, promotions, and other activities pertaining to its
business subject to the Act conducted by, or on behalf of, or benefiting
the industry member.
(2) Preparation. The report will be prepared by the industry member
in letter form, executed under the penalties of perjury, and will
contain the information specified by the appropriate ATF officer. The
period covered by the report will not exceed three years.
[[Page 80]]
(3) Filing. The report will be filed in accordance with the
instructions of the appropriate ATF officer.
(Approved by the Office of Management and Budget under control number
1512-0392)
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995. Redesignated and amended by
T.D. ATF-428, 65 FR 52019, Aug. 28, 2000]
Subpart B--Definitions
Sec. 6.11 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
have the meanings given in this section. Any other term defined in the
Federal Alcohol Administration Act and used in this part shall have the
meaning assigned to it by that Act.
Act. The Federal Alcohol Administration Act.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions
relating to the administration or enforcement of this part by ATF Order
1130.7, Delegation Order--Delegation of the Director's Authorities in 27
CFR Parts 6, 8, 10 and 11.
Brand. For purposes of administering this part, the term ``brand''
refers to differences in the brand name of a product or in the nature of
a product. Examples of different brands are products having a different
brand name or class, type, or kind designation; appellation of origin
(wine); vintage date (wine); age (distilled spirits); or percentage of
alcohol. Differences in packaging such as difference in label design or
color, or a different style, type or size of container are not
considered different brands.
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the
Department of the Treasury, Washington, DC.
Equipment. All functional items such as tap boxes, glassware,
pouring racks, and similar items used in the conduct of a retailer's
business.
Industry member. Any person engaged in business as a distiller,
brewer, rectifier, blender, or other producer, or as an importer or
wholesaler, of distilled spirits, wine or malt beverages, or as a
bottler, or warehousemen and bottler, of distilled spirits; industry
member does not include an agency of a State or political subdivision
thereof, or an officer or employee of such agency.
Product. Distilled spirits, wine or malt beverages, as defined in
the Federal Alcohol Administration Act.
Retail establishment. Any premises where distilled spirits, wine or
malt beverages are sold or offered for sale to consumers, whether for
consumption on or off the premises where sold.
Retailer. Any person engaged in the sale of distilled spirits, wine
or malt beverages to consumers. A wholesaler who makes incidental retail
sales representing less than five percent of the wholesaler's total
sales volume for the preceding two-month period shall not be considered
a retailer with respect to such incidental sales.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20421, Apr. 26, 1995; T.D. ATF-428, 65 FR 52020, Aug. 28, 2000]
Subpart C--Unlawful Inducements
General
Sec. 6.21 Application.
Except as provided in subpart D, it is unlawful for any industry
member to induce, directly or indirectly, any retailer to purchase any
products from the industry member to the exclusion, in whole or in part,
of such products sold or offered for sale by other persons in interstate
or foreign commerce by any of the following means:
(a) By acquiring or holding (after the expiration of any license
held at the time the FAA Act was enacted) any interest in any license
with respect to the premises of the retailer;
(b) By acquiring any interest in the real or personal property
owned, occupied, or used by the retailer in the conduct of his business;
(c) By furnishing, giving, renting, lending, or selling to the
retailer, any equipment, fixtures, signs, supplies, money, services or
other thing of value, subject to the exceptions contained in subpart D;
(d) By paying or crediting the retailer for any advertising,
display, or distribution service;
[[Page 81]]
(e) By guaranteeing any loan or the repayment of any financial
obligation of the retailer;
(f) By extending to the retailer credit for a period in excess of
the credit period usual and customary to the industry for the particular
class of transactions as prescribed in Sec. 6.65; or
(g) By requiring the retailer to take and dispose of a certain quota
of any such products.
Interest in Retail License
Sec. 6.25 General.
The act by an industry member of acquiring or holding any interest
in any license (State, county or municipal) with respect to the premises
of a retailer constitutes a means to induce within the meaning of the
Act.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
Sec. 6.26 Indirect interest.
Industry member interest in retail licenses includes any interest
acquired by corporate officials, partners, employees or other
representatives of the industry member. Any interest in a retail license
acquired by a separate corporation in which the industry member or its
officials, hold ownership or are otherwise affiliated, is an interest in
a retail license.
Sec. 6.27 Proprietary interest.
(a) Complete ownership. Outright ownership of a retail business by
an industry member is not an interest which may result in a violation of
section 105(b)(1) of the Act.
(b) Partial ownership. Less than complete ownership of a retail
business by an industry member constitutes an interest in a retail
license within the meaning of the Act.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20421, Apr. 26, 1995]
Interest in Retail Property
Sec. 6.31 General.
The act by an industry member of acquiring an interest in real or
personal property owned, occupied, or used by the retailer in the
conduct of business constitutes a means to induce within the meaning of
the Act.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
Sec. 6.32 Indirect interest.
Industry member interest in retail property includes any interest
acquired by corporate officials, partners, employees or other
representatives of the industry member. Any interest in retail property
acquired by a separate corporation in which the industry member or its
officials, hold ownership or are otherwise affiliated, is an interest in
retail property.
Sec. 6.33 Proprietary interest.
(a) Complete ownership. Outright ownership of a retail business by
an industry member is not an interest that may result in a violation of
section 105(b)(2) of the Act.
(b) Partial ownership. Less than complete ownership of a retail
business by an industry member constitutes an interest in retail
property within the meaning of the Act.
[ T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20421, Apr. 26, 1995]
Sec. 6.34 Mortgages.
The acquisition of a mortgage on a retailer's real or personal
property by an industry member constitutes an interest in the retailer's
property within the meaning of the Act.
Sec. 6.35 Renting display space.
The renting of display space by an industry member at a retail
establishment constitutes an interest in the retailer's property within
the meaning of the Act.
Furnishing Things of Value
Sec. 6.41 General.
Subject to the exceptions listed in subpart D, the act by an
industry member of furnishing, giving, renting, lending, or selling any
equipment, fixtures, signs, supplies, money, services, or other things
of value to a retailer constitutes a means to induce within the meaning
of the Act.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
[[Page 82]]
Sec. 6.42 Indirect inducement through third party arrangements.
(a) General. The furnishing, giving, renting, lending, or selling of
equipment, fixtures, signs, supplies, money, services, or other thing of
value by an industry member to a third party, where the benefits
resulting from such things of value flow to individual retailers, is the
indirect furnishing of a thing of value within the meaning of the Act.
Indirect furnishing of a thing of value includes, but is not limited to,
making payments for advertising to a retailer association or a display
company where the resulting benefits flow to individual retailers.
(b) Exceptions. An indirect inducement will not arise where the
thing of value was furnished to a retailer by the third party without
the knowledge or intent of the industry member, or the industry member
did not reasonably foresee that the thing of value would have been
furnished to a retailer. Things which may lawfully be furnished, given,
rented, lent, or sold by industry members to retailers under subpart D
may also be furnished directly by a third party to a retailer.
[T.D. ATF-364, 60 FR 20421, Apr. 26, 1995]
Sec. 6.43 Sale of equipment.
A transaction in which equipment is sold to a retailer by an
industry member, except as provided in Sec. 6.88, is the selling of
equipment in within the meaning of the Act regardless of how sold.
Further, the negotiation by an industry member of a special price to a
retailer for equipment from an equipment company is the furnishing of a
thing of value within the meaning of the Act.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20422, Apr. 26, 1995]
Sec. 6.44 Free warehousing.
The furnishing of free warehousing by delaying delivery of distilled
spirits, wine, or malt beverages beyond the time that payment for the
product is received, or if a retailer is purchasing on credit, delaying
final delivery of products beyond the close of the period of time for
which credit is lawfully extended, is the furnishing of a service or
thing of value within the meaning of the Act.
Sec. 6.45 Assistance in acquiring license.
Any assistance (financial, legal, administrative or influential)
given the retailer by an industry member in the retailer's acquisition
of the retailer's license is the furnishing of a service or thing of
value within the meaning of the Act.
Sec. 6.46-6.47 [Reserved]
Paying for Advertising, Display or Distribution Service
Sec. 6.51 General.
The act by an industry member of paying or crediting a retailer for
any advertising, display, or distribution service constitutes a means to
induce within the meaning of the Act, whether or not the advertising,
display, or distribution service received by the industry member in
these instances is commensurate with the amount paid therefor. This
includes payments or credits to retailers that are merely
reimbursements, in full or in part, for such services purchased by a
retailer from a third party.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Sec. 6.52 Cooperative advertising.
An arrangement in which an industry member participates with a
retailer in paying for an advertisement placed by the retailer
constitutes paying the retailer for advertising within the meaning of
the Act.
Sec. 6.53 Advertising in ballparks, racetracks, and stadiums.
The purchase, by an industry member, of advertising on signs,
scoreboards, programs, scorecards, and the like at ballparks, racetracks
or stadiums, from the retail concessionaire constitutes paying the
retailer for an advertising service within the meaning of the Act.
Sec. 6.54 Advertising in retailer publications.
The purchase, by an industry member, of advertising in a retailer
publication for distribution to consumers or the general public
constitutes paying
[[Page 83]]
the retailer for advertising within the meaning of the Act.
Sec. 6.55 Display service.
Industry member reimbursements to retailers for setting up product
or other displays constitutes paying the retailer for rendering a
display service within the meaning of the Act.
Sec. 6.56 Renting display space.
A promotion whereby an industry member rents display space at a
retail establishment constitutes paying the retailer for rendering a
display service within the meaning of the Act.
Guaranteeing Loans
Sec. 6.61 Guaranteeing loans.
The act by an industry member of guaranteeing any loan or the
repayment of any financial obligation of a retailer constitutes a means
to induce within the meaning of the Act.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Extension of Credit
Sec. 6.65 General.
Extension of credit by an industry member to a retailer for a period
of time in excess of 30 days from the date of delivery constitutes a
means to induce within the meaning of the Act.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Sec. 6.66 Calculation of period.
For the purpose of this part, the period of credit is calculated as
the time elapsing between the date of delivery of the product and the
date of full legal discharge of the retailer, through the payment of
cash or its equivalent, from all indebtedness arising from the
transaction.
Sec. 6.67 Sales to retailer whose account is in arrears.
An extension of credit (for product purchases) by an industry member
to a retailer whose account is in arrears does not constitute a means to
induce within the meaning of the Act so long as such retailer pays in
advance or on delivery an amount equal to or greater than the value of
each order, regardless of the manner in which the industry member
applies the payment in its records.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Quota Sales
Sec. 6.71 Quota sales.
The act by an industry member of requiring a retailer to take and
dispose of any quota of distilled spirits, wine, or malt beverages
constitutes a means to induce within the meaning of the Act.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Sec. 6.72 ``Tie-in'' sales.
The act by an industry member of requiring that a retailer purchase
one product (as defined in Sec. 6.11) in order to obtain another
constitutes a means to induce within the meaning of the Act. This
includes the requirement to take a minimum quantity of a product in
standard packaging in order to obtain the same product in some type of
premium package, i.e., a distinctive decanter, or wooden or tin box.
This also includes combination sales if one or more products may be
purchased only in combination with other products and not individually.
However, an industry member is not precluded from selling two or more
kinds or brands of products to a retailer at a special combination
price, provided the retailer has the option of purchasing either product
at the usual price, and the retailer is not required to purchase any
product it does not want. See Sec. 6.93 for combination packaging of
products plus non-alcoholic items.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Subpart D--Exceptions
Sec. 6.81 General.
(a) Application. Section 105(b)(3) of the Act enumerates means to
induce that may be unlawful under the subsection, subject to such
exceptions as are prescribed in regulations, having due regard for
public health, the quantity and value of articles involved, established
trade customs not contrary to the public interest, and the purposes of
that section. This subpart implements section 105(b)(3) of the Act and
[[Page 84]]
identifies the practices that are exceptions to section 105(b)(3) of the
Act. An industry member may furnish a retailer equipment, inside signs,
supplies, services, or other things of value, under the conditions and
within the limitations prescribed in this subpart.
(b) Recordkeeping Requirements. (1) Industry members shall keep and
maintain records on the permit or brewery premises, for a three year
period, of all items furnished to retailers under Secs. 6.83, 6.88,
6.91, 6.96(a), and 6.100 and the commercial records required under
Sec. 6.101. Commercial records or invoices may be used to satisfy this
recordkeeping requirement if all required information is shown. These
records shall show:
(i) The name and address of the retailer receiving the item;
(ii) The date furnished;
(iii) The item furnished;
(iv) The industry member's cost of the item furnished (determined by
the manufacturer's invoice price); and
(v) Charges to the retailer for any item.
(2) Although no separate recordkeeping violation results, an
industry member who fails to keep such records is not eligible for the
exception claimed.
(Approved by the Office of Management and Budget under control number
1512-0392)
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Sec. 6.82 [Reserved]
Sec. 6.83 Product displays.
(a) General. The act by an industry member of giving or selling
product displays to a retailer does not constitute a means to induce
within the meaning of section 105(b)(3) of the Act provided that the
conditions prescribed in paragraph (c) of this section are met.
(b) Definition. ``Product display'' means any wine racks, bins,
barrels, casks, shelving, or similar items the primary function of which
is to hold and display consumer products.
(c) Conditions and limitations. (1) The total value of all product
displays given or sold by an industry member under paragraph (a) of this
section may not exceed $300 per brand at any one time in any one retail
establishment. Industry members may not pool or combine dollar
limitations in order to provide a retailer a product display valued in
excess of $300 per brand. The value of a product display is the actual
cost to the industry member who initially purchased it. Transportation
and installation costs are excluded.
(2) All product displays must bear conspicuous and substantial
advertising matter on the product or the industry member which is
permanently inscribed or securely affixed. The name and address of the
retailer may appear on the product displays.
(3) The giving or selling of such product displays may be
conditioned upon the purchase of the distilled spirits, wine, or malt
beverages advertised on those displays in a quantity necessary for the
initial completion of such display. No other condition can be imposed by
the industry member on the retailer in order for the retailer to receive
or obtain the product display.
[T.D. ATF-364, 60 FR 20422, Apr. 26, 1995]
Sec. 6.84 Point of sale advertising materials and consumer advertising specialties.
(a) General. The act by an industry member of giving or selling
point of sale advertising materials and consumer advertising specialties
to a retailer does not constitute a means to induce within the meaning
of section 105(b)(3) of the Act provided that the conditions prescribed
in paragraph (c) of this section are met.
(b) Definitions--(1) Point of sale advertising materials are items
designed to be used within a retail establishment to attract consumer
attention to the products of the industry member. Such materials
include, but are not limited to: posters, placards, designs, inside
signs (electric, mechanical or otherwise), window decorations, trays,
coasters, mats, menu cards, meal checks, paper napkins, foam scrapers,
back bar mats, thermometers, clocks, calendars, and alcoholic beverage
lists or menus.
(2) Consumer advertising specialties are items that are designed to
be carried away by the consumer, such as trading stamps, nonalcoholic
mixers, pouring racks, ash trays, bottle or can openers, cork screws,
shopping bags, matches,
[[Page 85]]
printed recipes, pamphlets, cards, leaflets, blotters, post cards,
pencils, shirts, caps, and visors.
(c) Conditions and limitations. (1) All point of sale advertising
materials and consumer advertising specialties must bear conspicuous and
substantial advertising matter about the product or the industry member
which is permanently inscribed or securely affixed. The name and address
of the retailer may appear on the point of sale advertising materials.
(2) The industry member may not directly or indirectly pay or credit
the retailer for using or distributing these materials or for any
expense incidental to their use.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Sec. 6.85 Temporary retailers.
(a) General. The furnishing of things of value to a temporary
retailer does not constitute a means to induce within the meaning of
section 105(b)(3) of the Act.
(b) Definition. For purposes of administering this part, a temporary
retailer is a dealer who is not engaged in business as a retailer for
more than four consecutive days per event, and for not more than five
events in a calendar year.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Secs. 6.86-6.87 [Reserved]
Sec. 6.88 Equipment and supplies.
(a) General. The act by an industry member of selling equipment or
supplies to a retailer does not constitute a means to induce within the
meaning of section 105(b)(3) of the Act if the equipment or supplies are
sold at a price not less than the cost to the industry member who
initially purchased them, and if the price is collected within 30 days
of the date of the sale. The act by an industry member of installing
dispensing accessories at the retailer's establishment does not
constitute a means to induce within the meaning of the Act as long as
the retailer bears the cost of initial installation. The act by an
industry member of furnishing, giving, or selling coil cleaning service
to a retailer of distilled spirits, wine, or malt beverages does not
constitute a means to induce within the meaning of section 105(b)(3) of
the Act.
(b) Definition. ``Equipment and supplies'' means glassware (or
similar containers made of other material), dispensing accessories,
carbon dioxide (and other gasses used in dispensing equipment) or ice.
``Dispensing accessories'' include items such as standards, faucets,
cold plates, rods, vents, taps, tap standards, hoses, washers,
couplings, gas gauges, vent tongues, shanks, and check valves.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Secs. 6.89-6.90 [Reserved]
Sec. 6.91 Samples.
The act by an industry member of furnishing or giving a sample of
distilled spirits, wine, or malt beverages to a retailer who has not
purchased the brand from that industry member within the last 12 months
does not constitute a means to induce within the meaning of section
105(b)(3) of the Act. For each retail establishment the industry member
may give not more than 3 gallons of any brand of malt beverage, not more
than 3 liters of any brand of wine, and not more than 3 liters of
distilled spirits. If a particular product is not available in a size
within the quantity limitations of this section, an industry member may
furnish to a retailer the next larger size.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Sec. 6.92 Newspaper cuts.
Newspaper cuts, mats, or engraved blocks for use in retailers'
advertisements may be given or sold by an industry member to a retailer
selling the industry member's products.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Sec. 6.93 Combination packaging.
The act by an industry member of packaging and distributing
distilled spirits, wine, or malt beverages in combination with other
(non-alcoholic) items for sale to consumers does not constitute a means
to induce within the meaning of section 105(b)(3) of the Act.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
[[Page 86]]
Sec. 6.94 Educational seminars.
An industry member may give or sponsor educational seminars for
employees of retailers either at the industry member's premises or at
the retail establishment. Examples would be seminars dealing with use of
a retailer's equipment, training seminars for employees of retailers, or
tours of industry member's plant premises. This section does not
authorize an industry member to pay a retailer's expense in conjunction
with an educational seminar (such as travel and lodging). This does not
preclude providing nominal hospitality during the event.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20423, Apr. 26, 1995]
Sec. 6.95 Consumer tasting or sampling at retail establishments.
An industry member may conduct tasting or sampling activities at a
retail establishment. The industry member may purchase the products to
be used from the retailer, but may not purchase them from the retailer
for more than the ordinary retail price.
Sec. 6.96 Consumer promotions.
(a) Coupons. The act by an industry member of furnishing to
consumers coupons which are redeemable at a retail establishment does
not constitute a means to induce within the meaning of section 105(b)(3)
of the Act, provided the following conditions are met:
(1) All retailers within the market where the coupon offer is made
may redeem such coupons; and
(2) An industry member may not reimburse a retailer for more than
the face value of all coupons redeemed, plus a usual and customary
handling fee for the redemption of coupons.
(b) Direct offerings. Contest prizes, premium offers, refunds, and
like items may be offered by industry members directly to consumers.
Officers, employees and representatives of wholesalers or retailers are
excluded from particiption.
[T.D. ATF-74, 45 FR 63251, Sept. 23, 1980, as amended by T.D. ATF-364,
60 FR 20423, Apr. 26, 1995]
Sec. 6.97 [Reserved]
Sec. 6.98 Advertising service.
The listing of the names and addresses of two or more unaffiliated
retailers selling the products of an industry member in an advertisement
of that industry member does not constitute a means to induce within the
meaning of section 105(b)(3) of the Act, provided:
(a) The advertisement does not also contain the retail price of the
product (except where the exclusive retailer in the jurisdiction is a
State or a political subdivision of a State), and
(b) The listing is the only reference to the retailers in the
advertisement and is relatively inconspicuous in relation to the
advertisement as a whole, and
(c) The advertisement does not refer only to one retailer or only to
retail establishments controlled directly or indirectly by the same
retailer, except where the retailer is an agency of a State or a
political subdivision of a State.
[T.D. ATF-364, 60 FR 20423, Apr. 26, 1995]
Sec. 6.99 Stocking, rotation, and pricing service.
(a) General. Industry members may, at a retail establishment, stock,
rotate and affix the price to distilled spirits, wine, or malt beverages
which they sell, provided products of other industry members are not
altered or disturbed. The rearranging or resetting of all or part of a
store or liquor department is not hereby authorized.
(b) Shelf plan and shelf schematics. The act by an industry member
of providing a recommended shelf plan or shelf schematic for distilled
spirits, wine, or malt beverages does not constitute a means to induce
within the meaning of section 105(b)(3) of the Act.
[T.D. ATF-364, 60 FR 20424, Apr. 26, 1995]
Sec. 6.100 Participation in retailer association activities.
The following acts by an industry member participating in retailer
association activities do not constitute a means to induce within the
meaning of section 105(b)(3) of the Act:
(a) Displaying its products at a convention or trade show;
[[Page 87]]
(b) Renting display booth space if the rental fee is the same as
paid by all exhibitors at the event;
(c) Providing its own hospitality which is independent from
association sponsored activities;
(d) Purchasing tickets to functions and paying registration fees if
the payments or fees are the same as paid by all attendees, participants
or exhibitors at the event; and
(e) Making payments for advertisements in programs or brochures
issued by retailer associations at a convention or trade show if the
total payments made by an industry member for all such advertisements do
not exceed $300 per year for any retailer association.
[T.D. ATF-364, 60 FR 20424, Apr. 26, 1995]
Sec. 6.101 Merchandise.
(a) General. The act by an industry member, who is also in business
as a bona fide producer or vendor of other merchandise (for example,
groceries or pharmaceuticals), of selling that merchandise to a retailer
does not constitute a means to induce within the meaning of section
105(b)(3) of the Act, provided:
(1) The merchandise is sold at its fair market value;
(2) The merchandise is not sold in combination with distilled
spirits, wines, or malt beverages (except as provided in Sec. 6.93);
(3) The industry member's acquisition or production costs of the
merchandise appears on the industry member's purchase invoices or other
records; and
(4) The individual selling prices of merchandise and distilled
spirits, wines, or malt beverages sold in a single transaction can be
determined from commercial documents covering the sales transaction.
(b) Things of value covered in other sections of this part. The act
by an industry member of providing equipment, fixtures, signs,
glassware, supplies, services, and advertising specialties to retailers
does not constitute a means to induce within the meaning of section
105(b)(3) of the Act only as provided in other sections within this
part.
[T.D. ATF-364, 60 FR 20424, Apr. 26, 1995]
Sec. 6.102 Outside signs.
The act by an industry member of giving or selling outside signs to
a retailer does not constitute a means to induce within the meaning of
section 105(b)(3) of the Act provided that:
(a) The sign must bear conspicuous and substantial advertising
matter about the product or the industry member which is permanently
inscribed or securely affixed;
(b) The retailer is not compensated, directly or indirectly such as
through a sign company, for displaying the signs; and
(c) The cost of the signs may not exceed $400.
[T.D. ATF-364, 60 FR 20424, Apr. 26, 1995]
Subpart E--Exclusion
Source: T.D. ATF-364, 60 FR 20424, Apr. 26, 1995, unless otherwise
noted.
Sec. 6.151 Exclusion, in general.
(a) Exclusion, in whole or in part occurs:
(1) When a practice by an industry member, whether direct, indirect,
or through an affiliate, places (or has the potential to place) retailer
independence at risk by means of a tie or link between the industry
member and retailer or by any other means of industry member control
over the retailer; and
(2) Such practice results in the retailer purchasing less than it
would have of a competitor's product.
(b) Section 6.152 lists practices that create a tie or link that
places retailer independence at risk. Section 6.153 lists the criteria
used for determining whether other practices can put retailer
independence at risk.
Sec. 6.152 Practices which put retailer independence at risk.
The practices specified in this section put retailer independence at
risk. The practices specified here are examples and do not constitute a
complete list of those practices that put retailer independence at risk.
[[Page 88]]
(a) The act by an industry member of resetting stock on a retailer's
premises (other than stock offered for sale by the industry member).
(b) The act by an industry member of purchasing or renting display,
shelf, storage or warehouse space (i.e. slotting allowance).
(c) Ownership by an industry member of less than a 100 percent
interest in a retailer, where such ownership is used to influence the
purchases of the retailer.
(d) The act by an industry member of requiring a retailer to
purchase one alcoholic beverage product in order to be allowed to
purchase another alcoholic beverage product at the same time.
Sec. 6.153 Criteria for determining retailer independence.
The criteria specified in this section are indications that a
particular practice, other than those in Sec. 6.152, places retailer
independence at risk. A practice need not meet all of the criteria
specified in this section in order to place retailer independence at
risk.
(a) The practice restricts or hampers the free economic choice of a
retailer to decide which products to purchase or the quantity in which
to purchase them for sale to consumers.
(b) The industry member obligates the retailer to participate in the
promotion to obtain the industry member's product.
(c) The retailer has a continuing obligation to purchase or
otherwise promote the industry member's product.
(d) The retailer has a commitment not to terminate its relationship
with the industry member with respect to purchase of the industry
member's products.
(e) The practice involves the industry member in the day-to-day
operations of the retailer. For example, the industry member controls
the retailer's decisions on which brand of products to purchase, the
pricing of products, or the manner in which the products will be
displayed on the retailer's premises.
(f) The practice is discriminatory in that it is not offered to all
retailers in the local market on the same terms without business reasons
present to justify the difference in treatment.
PART 7--LABELING AND ADVERTISING OF MALT BEVERAGES--Table of Contents
Subpart A--Scope
Sec.
7.1 General.
7.2 Territorial extent.
7.3 Forms prescribed.
7.4 Related regulations.
7.5 Delegations of the Director.
Subpart B--Definitions
7.10 Meaning of terms.
Subpart C--Labeling Requirements for Malt Beverages
7.20 General.
7.21 Misbranding.
7.22 Mandatory label information.
7.23 Brand names.
7.24 Class and type.
7.25 Name and address.
7.26 Alcoholic content [suspended as of April 19, 1993; see Sec. 7.71].
7.27 Net contents.
7.28 General requirements.
7.29 Prohibited practices.
Subpart D--Requirements for Withdrawal of Imported Malt Beverages From
Customs Custody
7.30 Application.
7.31 Label approval and release.
Subpart E--Requirements for Approval of Labels of Malt Beverages
Domestically Bottled or Packed
7.40 Application.
7.41 Certificates of label approval.
7.42 Exhibiting certificates to Government officials.
Subpart F--Advertising of Malt Beverages
7.50 Application.
7.51 Definitions.
7.52 Mandatory statements.
7.53 Legibility of mandatory information.
7.54 Prohibited practices.
7.55 Comparative advertising.
Subpart G--General Provisions
7.60 Exports.
Subpart H--Interim Regulations for Alcoholic Content Statements
7.71 Alcoholic content.
Subpart I--Use of the Term ``Organic.''
7.81 Use of the term ``organic.''
[[Page 89]]
Authority: 27 U.S.C. 205.
Source: T.D. 6521, 25 FR 13859, Dec. 29, 1960, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 7 appear by T.D. ATF-
425, 65 FR 11891, Mar. 7, 2000.
Subpart A--Scope
Sec. 7.1 General.
The regulations in this part relate to the labeling and advertising
of malt beverages.
Sec. 7.2 Territorial extent.
This part applies to the several States of the United States, the
District of Columbia and the Commonwealth of Puerto Rico.
Sec. 7.3 Forms prescribed.
(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center, P.O.
Box 5950, Springfield, Virginia 22153-5190, or by accessing the ATF web
site (http://www.atf.treas.gov/).
[T.D. ATF-92, 46 FR 46912, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5956, Feb. 27, 1987; T.D. 372, 61 FR 20723, May 8, 1996; T.D. ATF-
425, 65 FR 11891, Mar. 7, 2000]
Sec. 7.4 Related regulations.
The following regulations also relate to this part:
27 CFR Part 205--National Organic Program
27 CFR Part 1--Basic Permit Requirements Under the Federal Alcohol
Administration Act, Nonindustrial Use of Distilled Spirits and Wine,
Bulk Sales and Bottling of Distilled Spirits
27 CFR Part 4--Labeling and Advertising of Wine
27 CFR Part 5--Labeling and Advertising of Distilled Spirits
27 CFR Part 13--Labeling Proceedings
27 CFR Part 16--Alcoholic Beverage Health Warning Statement
27 CFR Part 25--Beer
27 CFR Part 26--Liquors and Articles from Puerto Rico and the Virgin
Islands
27 CFR Part 27--Importation of Distilled Spirits, Wines, and Beer
27 CFR Part 71--Rules of Practice in Permit Proceedings
[T.D. ATF-483, 67 FR 62858, Oct. 8, 2002]
Sec. 7.5 Delegations of the Director.
Most of the regulatory authorities of the Director contained in this
Part 7 are delegated to appropriate ATF officers. These ATF officers are
specified in ATF Order 1130.2A, Delegation Order--Delegation of the
Director's Authorities in 27 CFR parts 4, 5 and 7, Labeling and
Advertising of Wine, Distilled Spirits and Malt Beverages. ATF
delegation orders, such as ATF Order 1130.2A, are available to any
interested person by mailing a request to the ATF Distribution Center,
PO Box 5950, Springfield, Virginia 22150-5190, or by accessing the ATF
web site (http://www.atf.treas.gov/).
[T.D. ATF-425, 65 FR 11891, Mar. 7, 2000]
Subpart B--Definitions
Sec. 7.10 Meaning of terms.
As used in this part, unless the context otherwise requires, terms
shall have the meaning ascribed in this subpart.
Act. The Federal Alcohol Administration Act.
Advertisement. See Sec. 7.51 for meaning of term as used in subpart
F of this part.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco and Firearms (ATF) authorized to perform any functions
relating to the administration or enforcement of this part by ATF Order
1130.2A, Delegation Order--Delegation of the Director's Authorities in
27 CFR part 4, 5 and 7, Labeling and Advertising of Wine, Distilled
Spirits and Malt Beverages.
Brand label. The label carrying, in the usual distinctive design,
the brand name of the malt beverage.
Bottler. Any person who places malt beverages in containers of a
capacity of one gallon or less.
Container. Any can, bottle, barrel, keg, or other closed receptacle,
irrespective of size or of the material from
[[Page 90]]
which made, for use for the sale of malt beverages at retail.
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the
Department of the Treasury, Washington, DC.
Gallon. A U.S. gallon of 231 cubic inches of malt beverages at 39.1
deg.F (4 deg.C). All other liquid measures used are subdivisions of the
gallon as defined.
Interstate or foreign commerce. Commerce between any State and any
place outside thereof, or commerce within any Territory or the District
of Columbia, or between points within the same State but through any
place outside thereof.
Malt beverage. A beverage made by the alcoholic fermentation of an
infusion or decoction, or combination of both, in potable brewing water,
of malted barley with hops, or their parts, or their products, and with
or without other malted cereals, and with or without the addition of
unmalted or prepared cereals, other carbohydrates or products prepared
therefrom, and with or without the addition of carbon dioxide, and with
or without other wholesome products suitable for human food consumption.
Other terms. Any other term defined in the Federal Alcohol
Administration Act and used in this part shall have the same meaning
assigned to it by the Act.
Packer. Any person who places malt beverages in containers of a
capacity in excess of one gallon.
Person. Any individual, partnership, joint-stock company, business
trust, association, corporation, or other form of business enterprise,
including a receiver trustee, or liquidating agent, and including an
officer or employee of any agency of a State or political subdivision
thereof.
United States. The several States, the District of Columbia, and
Puerto Rico; the term ``State'' includes the District of Columbia and
Puerto Rico.
[T.D. ATF-48, 43 FR 13534, Mar. 31, 1978; 44 FR 55839, Sept. 28, 1979,
as amended by T.D. ATF-66, 45 FR 40550, June 13, 1980; T.D. ATF-94, 46
FR 55097, Nov. 6, 1981; T.D. ATF-344, 58 FR 40354, July 28, 1993; T.D.
ATF-425, 65 FR 11892, Mar. 7, 2000]
Subpart C--Labeling Requirements for Malt Beverages